BUDGET OF THE ORGANIZATION

Transcription

1 Doc BUDGET OF THE ORGANIZATION APPROVED BY THE THIRTY-NINTH SESSION OF THE ASSEMBLY MONTRÉAL, OCTOBER 2016 Published by authority of the Secretary General INTERNATIONAL CIVIL AVIATION ORGANIZATION

2

3 Doc BUDGET OF THE ORGANIZATION APPROVED BY THE THIRTY-NINTH SESSION OF THE ASSEMBLY MONTRÉAL, OCTOBER 2016 Published by authority of the Secretary General INTERNATIONAL CIVIL AVIATION ORGANIZATION

4 (this page intentionally left blank)

5 BUDGET OF THE ORGANIZATION FOR 2017, 2018 AND 2019 TABLE OF CONTENTS COUNCIL S MESSAGE ON THE BUDGET OF THE ORGANIZATION FOR ASSEMBLY RESOLUTION... 5 INTRODUCTION AND OVERVIEW... 7 Introduction... 7 Strategic Framework and Budget Structure... 8 Results-Based Budget... 8 Framework of the Budget Funding of the Budget Implications of IPSAS Adoption on Budgeting Practices Most Significant Non-Cash Items Included in Budgets Page ICAO STRATEGIC FRAMEWORK PROGRAMME NARRATIVES BY STRATEGIC OBJECTIVES Strategic Objective Safety Strategic Objective Air Navigation Capacity and Efficiency Strategic Objective Security and Facilitation Strategic Objective Economic Development of Air Transport Strategic Objective Environmental Protection PROGRAMME NARRATIVES BY SUPPORTING STRATEGIES Administration and Services Management Budget and Financial Management Communications Ethics Evaluation and Internal Audit Executive Leadership and Management Human Resources Information Management and General Administrative Services Language Services Legal and External Relations Services PROGRAMME NARRATIVES EXTRA-BUDGETARY FUNDS Administrative and Operational Services Costs Fund Ancillary Revenue Generation Fund

6 ANNEXES Annex 1 Mapping of Strategic Objectives and Programmes to Organizational Structure Annex 2 Regular Programme Budget by Organizational Structure and Object of Expenditure EXHIBITS TABLES Exhibit Budget by Category of Expenditure and Location Exhibit Budgeted Posts Exhibit Budgeted Posts Exhibit Budgeted Posts Exhibit Budget by Object of Expenditure Exhibit 5a Budget by Object of Expenditure Regional Offices Exhibit 5b Budget by Object of Expenditure Administrative Services Bureau Exhibit 5c Budget by Object of Expenditure Office of the Secretary General (and Office of the President) Exhibit 6 Organigram Table Budget by Strategic Objectives/Supporting Strategies Table Budget Summary by Direct/Indirect Costs Table Budget by Expected Results Table Budget Sources of Funds Table Budget by Strategic Objective and Location Table 6 Budget for and Budget for by Organizational Structure Table Budget Summary by Budget Block (Major Object of Expenditure) Table 8 Post Movement from Year 2016 to Year FIGURES Figure Budget by Strategic Objective and Supporting Strategies NOTE: Rounding differences may occur throughout the document

7 ACRONYMS AND ABBREVIATIONS ACCs ADB AFI SECFAL AFI AFSG AIDC AIG AMHS ANB ANC ANP AOCs AOSC AOSCF APAC APAC-RSO APIRG ARGF ASA ASBU ASHI ASIA/PAC ASIAP ASTC ATB ATC ATFM ATM AVSEC AWOG CAD CAEP CAPS CAR/SAM CASP CCO CDFA CDO CEB CEs CMA CNS COM COSCAPs CPMF CSG eanp EANPG EAO ECAC EDM EDRMS efod Aviation Carbon Calculators Bureau of Administration and Services Aviation Security and Facilitation in Africa Africa-Indian Ocean Aeronautical Fixed Services Group ATS Inter-facility Data Communication Accident Investigation Aeronautical Message Handling System Air Navigation Bureau Air Navigation Commission Air Navigation Plan Air Operator Certificates Administrative and Operational Services Costs Administrative and Operational Services Cost Fund Asia and Pacific Asia and Pacific Regional Sub-Office AFI Planning and Implementation Regional Group Ancillary Revenue Generation Fund Aviation Security Audit Section Aviation System Block Upgrades After-Service Health Insurance Asia and Pacific Region Aviation Security Implementation Assistance Partnership Aviation Security Training Centre Air Transport Bureau Air Transport Committee Air Traffic Flow Management Air Traffic Management Aviation Security All Weather Operations Group Canadian dollars Committee on Aviation Environmental Protection Civil Aviation Purchasing Service Caribbean and South American Region Cooperative Aviation Security Programme Continuous Climb Operations Council Decision for Action Continuous Descent Operations Chief Executives Board for Coordination Critical Elements Continuous Monitoring Activities Communications, Navigation and Surveillance Communications Cooperative Development of Operational Safety and Continuing Airworthiness Programmes Corporate Performance Management Framework Conference, Security and General Services Digital Regional Air Navigation Plan European Air Navigation Planning Group Evaluation and Internal Audit Office European Civil Aviation Conference Enterprise Data Management Electronic Documents and Records Management System Electronic Filing of Differences

8 EI EIF ENV ERP ESAF EU EUR/NAT FAL FIC FIN FIR FMG FUA GANP GASeP GASP GAT GFAAF GHG HQ HR HRC HRM IAID IAS IATA ICAN ICAO ICSC ICT ICVM IFSET ILO IPCC IPSAS ISO istars ITU IWAF JSC KPIs LDC LEB LP MAA MARB MBM MET METG MID MIDANPIRG MRTD NACC NAM NAT NCLB Effective Implementation Enhanced Integrated Framework Environment Branch Enterprise Resource Planning Eastern and Southern African European Union European and North Atlantic Facilitation Finance Committee Finance Flight Information Region Frequency Management Group Flexible use of Airspace Global Air Navigation Plan Global Aviation Security Plan Global Aviation Safety Plan Global Aviation Training Global Framework for Aviation Alternative Fuels Greenhouse Gas Headquarters Human Resources Human Resources Committee Human Resources Management Integrated Aeronautical Information Database Information Management and General Administrative Services International Air Transport Association ICAO Air Services Negotiation Conference International Civil Aviation Organization International Civil Service Commission Information and Communication Technology ICAO Coordinated Validation Mission ICAO Fuel Savings Estimation Tool International Labor Office Intergovernmental Panel on Climate Change International Public Sector Accounting Standards International Organization for Standardization Integrated Safety Trend Analysis and Reporting System International Telecommunication Union ICAO World Aviation Forum Joint Support Committee Indicators Least Developed Countries Legal Affairs and External Relations Language and Publications Management and Administration Monitoring and Assistance Review Board Market-based Measure Aeronautical Meteorology Meteorology Group Middle East Middle East Air Navigation Planning and Implementation Regional Group Machine Readable Travel Document North American, Central American and Caribbean North American Region North Atlantic Region No Country Left Behind

9 NGAP NGO PANS PANS-ATM PANS-OPS PBN PIRG PoC PPE PQs PRO PS QM RASGs RBB RCS RGA RHCC RPAS RSOOs RSTs SAAQs SADC SADIS SAFE SAM SAR SARPs SDGs SIP SIS SMS SOs SPCP SPGs SRVSOP SSA SSCs SSeCs SSP SWIM TCB TCP TMA TRIP UIC UN UNCTAD UNDSS UNEP UNFCCC UNWTO UPU USAP USD USOAP VACP Next Generation of Aviation Professionals Non-governmental Organization Procedures for Air Navigation Services Procedures for Air Navigation Services Air Traffic Management Procedures for Air Navigation Services Aircraft Operations Performance-based Navigation Planning and Implementation Regional Group Point of Contact Network Property Plant and Equipment Protocol Questions Procurement Programme Support Quality Management Regional Aviation Safety Groups Results Based Budget Risk Context Statement Revenue Generating Activities Relations with Host Country Committee Remotely Piloted Aircraft System Regional Safety Oversight Organizations Runway Safety Teams State Aviation Activity Questionnaires Southern African Development Community Satellite Distribution System Safety Fund South American Search and Rescue Standard and Recommended Practices Sustainable Development Goals Special Implementation Project Supporting Implementation Strategy Safety Management Systems Strategic Objectives Strategic Planning, Coordination and Partnerships Office Strategy Planning Groups Regional System for Cooperation on Operational Safety Oversight Special Service Agreement Significant Safety Concerns Significant Security Concerns State Safety Programme System-Wide Information Management Technical Cooperation Bureau Technical Cooperation Programme Terminal Control Area Traveller Identification Programme Committee on Unlawful Interference United Nations United Nations Conference on Trade and Development United Nations Department of Safety and Security United Nations Environment Programme United Nations Framework Convention on Climate Change United Nations World Tourism Organization Universal Postal Union Universal Security Audit Programme United States dollars Universal Safety Oversight Audit Programme Volcanic Ash Contingency Plan

10 VSAT WACAF WASA WCO WHO WMU WTO ZNG Very Small Aperture Terminal Western and Central African World s Air Services Agreements World Customs Organization World Health Organization Web Management Unit World Trade Organization Zero Nominal Growth

11 COUNCIL S MESSAGE ON THE BUDGET OF THE ORGANIZATION FOR INTRODUCTION AND STRATEGIC FRAMEWORK 1. In compliance with its obligations specified under Article 61 of the Convention on International Civil Aviation and the Financial Regulation, paragraph 4.6, the Council is pleased to submit to the Assembly the Budget Estimates for the triennium for the sum of CAD million. 2. The Council considers that the current ICAO Strategic Objectives (SOs) respond duly to major priorities, needs and challenges facing the global civil aviation, while at the same time ensuring the sustainable development of this sector. With the purpose that the SOs respond to the longterm vision of ICAO and allow the Organization to play a more active role in resolving emerging problems facing the aviation, as well as to keep up with the changing needs of Contracting States, the following priorities for the triennium, were identified: a) Continuous Safety Improvements: Ensure that continuous safety improvements are made via global, regional and State aviation planning, using a data-driven decision making process; b) Harmonized Global Air Navigation Modernization: Ensure that harmonized global air navigation modernization advances hand-in-hand via global, regional and State aviation planning; c) Continuous Aviation Security and Facilitation Improvements: Enhance civil aviation security and facilitation worldwide while optimizing a balance between facilitation and security requirements; d) Enhanced Role of Aviation for Economic Development: Foster the development of a sound and economically viable air transport system; e) Environmentally Friendly Aviation: Limit or reduce the number of people affected by significant aircraft noise, and the impact of aviation emissions on local air quality and of aviation greenhouse gas emissions on the global climate; f) Quality Data, Analysis and Forecasting: Promote the availability of complete, comprehensive and reliable aviation data and its analysis; g) No Country Left Behind (NCLB): Enhance capabilities of States in particular developing and least developed countries to implement global standards and policies and improve air connectivity for the sustainable development of local and global economies. This initiative should also consider the following elements: Training and Capacity Building in Aviation; Technical Assistance and Cooperation and Mobilizing Resources; and h) Enhancing the International Legal Framework: Prepare and promote ratification of international air law instruments, depository and dispute-settlement functions related thereto, and registration of aeronautical agreements and preparation of model legislation. 3. In order to enhance the efficiency, effectiveness and impact of ICAO s work to attain the Expected Results, a series of focus areas have been identified: 1

12 a) Strengthening of ICAO s regional presence, by strengthening ICAO Regional Offices responsibility and accountability to engage and coordinate directly with States; b) Improving ICAO s SARP and Policy development, in order to respond to the needs of States and the industry and facilitating their effective implementation; c) Strengthening Partnerships with international and regional organizations. The Organization will advance on programmatic issues of mutual interest, avoiding duplication of work and optimizing resources; d) Enhancing ICAO Governance, via the regular review of governance mechanisms, operating arrangements, management and administration, human resources policies, budgeting practices and funding mechanisms; e) Improving Corporate Performance and Risk Management, by establishing, and promoting the efficient performance and risk management as key components of how ICAO works; and f) Responding efficiently to Aviation Emergencies, by establishing an appropriate mechanism for emergency response management. BUDGET PREPARATION PROCESS, KEY OUTCOMES AND CHALLENGES 4. The Budget adopts a cohesive performance-based and result-oriented approach, that includes the implementation of the five Strategic Objectives (SOs), as well as the No Country Left Behind (NCLB) initiative, and other activities of emerging issues during the triennium. 5. In the budgeting process, the Council: a) Considered five possible budgetary scenarios for developing the regular programme budget estimates; b) Determined the overall budget expenditure, taking into account foreseeable incomes (State Members assessments and other revenues not from this source); c) Identified cost savings and/or feasible efficiency gains, in order to implement the entire Business Plan within the overall expenditure provisions; and d) Convened on a budgetary scenario that accommodate and overarching work programme, with the identified resources, economies and efficiencies. 6. While determining the overall expenditure provisions, the Council agreed on a zero nominal growth (ZNG) with regard to the 2016 Member States assessment as the baseline. In other words, the States' Assessments are maintained at the level of 2016; i.e. CAD million for the entire triennium. With ICAO s revenues from other sources, amounting CAD 25.0 million, an overall budget of CAD million is obtained. 7. Subsequently, the following enhancements and efficiencies of the Draft budget proposal are emphasized: a) Strengthening the Regional Offices (RO) activities, through better implementation of programmes, as well as with the creation of 12 new positions and the transfer of two staff members from Headquarters to ROs; b) The role of the internal audit is also reinforced, and a human resources position is transferred to Air Transport Bureau (ATB) in order to address issues of cybersecurity, among other enhancements; c) Improving information technology infrastructure, by providing additional CAD 2.0 million, as capital expenditure on ICT budget to accommodate expenses related to lifecycle replacement, among other things; 2

13 d) No cuts are proposed to the operational costs, or to the staff quota, and the vacancy rate remains at 6.2%; e) An across-the-board cut of CAD 1.3 million on salary cost; f) At 2.5% annual compounded inflation rate, the proposal includes during the triennium, savings of CAD 6 million through the elimination of rental expenses (as a result of the new Headquarters Supplementary Agreement concluded with the Host Country) and of CAD 7.9 million, through the exchange rates adjustments; g) Identified efficiencies to reduce costs of printing, distribution, travel expenses, and wages, among others, by CAD 3.5 million; h) Efficiency measures to reduce the provision of language services which include, among others, interpretation services only for some ANC group sessions, Information Papers and Appendices to be presented in English only; and interpretation services for Informal Briefings to be determined on a case-by-case basis; i) Increase, during the next triennium, the transfer from ARGF Surplus to the Regular Programme Budget, by CAD 4.0 million, and reduce the reimbursement from Administrative and Operational Services Cost (AOSC) Fund, to a net amount of CAD 2.7 million; j) To introduce continual improvements through new and improved processes of higher level of efficiencies, effectiveness and cost reduction, for which organizational structures and functions will be re-examined; processes re-engineering, in order to take advantage of new technologies and procedures across the Organization, both in Language and Publications (LP) Sections and other substantive bureaux; k) Improvements in the succession planning and quality management in the LP are also included; and l) For the purpose of implementing key priorities of the Organization and achieving the Expected Results in a timely manner, the Council has authorized the amendment of Financial Regulation 5.9 (to be confirmed by the 39th Assembly) to increase the ability of the Secretary General to transfer appropriations between Strategic Objectives from 10% to 20%. m) In the triennium, more savings could be realized through additional cost reduction and efficiencies through the remodeling of ICAO s Headquarters, as well as from a favorable inflation rate, carry-over of unutilized appropriations, variation in rate of vacancy and exchange rate, higher miscellaneous income arising from increased interest rates, among others, resources that, in any case, could be used to support activities and programmes outlined in the next paragraph 8 (c). 8. While the proposed budget will meet the work programme requirements, certain challenges remain, among others: a) significant reliance on extra budgetary resources, mainly the Ancillary Revenue Generation Fund (ARGF); b) a provision to fund the After Service Health Insurance (ASHI) liability is not included. However, approximately CAD a year has been added to reflect the increase in payas-you-go ASHI costs. Moreover, the Council has adopted other measures of cost containment to reduce the ASHI liability, which are: extending staff members retirement age from 62 to 65 years old; as well as offering incentives to retirees to withdraw from the ASHI Plan, opting instead for a State sponsored-health plan; c) identification for the next triennium additional resources to support activities and programmes mainly in relation to language services, air transport and the environment; and d) the level of extra budget support by the Contracting States (voluntary contributions and secondments). 3

14 9. Finally, the Council is submitting the current Draft Budget for the consideration and approval of the 39th Ordinary Session of the General Assembly, containing the following: i. Estimated Budget Summary ii. Budget Summary by Direct and Indirect Costs iii. Strategic Objective Budget Summary by Expected Results and by Programme iv. Budget Summary by Budget Block (Major Objects of Expenditure) v. Proposed Budget Estimates for No Country Left Behind (NCLB) initiative vi. Proposed Budgeted Posts CONCLUSION 10. The CAD million Results-based Budget proposal is aligned with the Strategic Objectives (SOs) and priorities of the revised Business Plan, which along with Indicators (KPIs) and Corporate Risk Registry, among other components, will enable ICAO to deliver the mandated programmes and new priorities, to address emerging needs in a credible fashion. It would also allow the Organization to maintain a continuous monitoring of its performance and enhance the compliance of the guidance given by the Assembly. 4

15 ASSEMBLY RESOLUTION Resolution A39-37: Budgets for 2017, 2018 and 2019 A. The Assembly, with respect to the Budget , notes that: 1. in accordance with Article 61 of the Convention, the Council has submitted and the Assembly has considered annual budget estimates [indicative estimates for the Administrative and Operational Services Costs of the Technical Cooperation Programme (AOSC)] for each of the financial years 2017, 2018 and 2019; 2. in accordance with Articles 49 (e) and 61 of the Convention, the Assembly approves the budgets of the Organization. B. The Assembly, with respect to the Technical Cooperation Programme: Recognizing that the AOSC are mainly financed by fees from implementation of projects assigned to ICAO for execution by external funding sources such as Governments, the United Nations Development Programme and other sources; Recognizing that the Technical Cooperation Programme cannot be determined with a high degree of precision until such time as the Governments of donor and recipient countries have decided on the relevant projects; Recognizing that due to the situation cited above, the annual AOSC net budget figures shown below in Canadian dollars (CAD) for the years 2017, 2018 and 2019 represent indicative budget estimates only: Estimated Expenditures ,560,000 9,700,000 9,930,000 Recognizing that technical co-operation is an important means of fostering the development and safety of civil aviation; Recognizing the circumstances facing the Technical Cooperation Programme of the Organization and the necessity to take continuing measures; and Recognizing that in the event that the AOSC operation for any given financial year ends in a financial deficit, such deficit should first be met from the accumulated surplus of the AOSC Fund and a call for support from the Regular Programme Budget would be the last resort. Resolves that the Indicative Budget Estimates of the Administrative and Operational Services Costs of the Technical Cooperation Programme are hereby approved on the understanding that subsequent adjustments to the Indicative Budget Estimates shall be made within the framework of the annual AOSC Budget Estimates in accordance with the provisions of Article IX of the Financial Regulations. 5

16 C. The Assembly, with respect to the Regular Programme: Resolves that: 1. separately for the financial years 2017, 2018 and 2019, the following amounts in Canadian dollars, requiring an outlay of funds, are hereby authorized for expenditure for the Regular Programme in accordance with the Financial Regulations, and subject to the provisions of this Resolution: Total Strategic Objective (Programmes) SAFETY 22,962,000 23,181,000 24,008,000 70,151,000 AIR NAVIGATION CAPACITY AND EFFICIENCY 14,627,000 15,116,000 15,320,000 45,063,000 SECURITY AND FACILITATION 8,773,000 8,878,000 9,173,000 26,824,000 ECONOMIC DEVELOPMENT OF AIR TRANSPORT 3,112,000 3,182,000 3,494,000 9,788,000 ENVIRONMENTAL PROTECTION 3,432,000 3,484,000 3,883,000 10,799,000 Programme Support 30,957,000 31,774,000 34,076,000 96,807,000 Management & Administration 13,779,000 14,253,000 14,589,000 42,621,000 TOTAL AUTHORIZED APPROPRIATION 97,642,000 99,868, ,543, ,053,000 Operational 96,568,000 98,922, ,778, ,268,000 Capital 1,074, , ,000 2,785, the separate annual Total Authorized Appropriation be financed as follows in Canadian dollars, in accordance with the Financial Regulations: Total a) Assessments on States 89,344,000 91,540,000 96,181, ,065,000 b) Reimbursement from AOSC Fund 1,202,000 1,202,000 1,202,000 3,606,000 c) Transfer from ARGF Surplus 6,415,000 6,415,000 6,416,000 19,246,000 d) Transfer from Incentive Scheme for Long- Outstanding Arrears Account 333, , ,000 1,000,000 e) Miscellaneous Income 348, , ,000 1,136,000 TOTAL: 97,642,000 99,868, ,543, ,053,000 6

17 INTRODUCTION 1. This budget document includes: i) the Regular Programme Budget for implementation of the programmes and activities of the Organization mandated under the Convention on International Civil Aviation; ii) the Administrative and Operational Services Cost (AOSC) Fund s Indicative Budget for the management of the Technical Cooperation Programme (TCP); iii) the financial forecast of the Ancillary Revenue Generation Fund (ARGF) for all the revenue generating activities of the Organization. 2. The Regular Programme Budget sets forth the work programme and activities that will be implemented by the Secretariat, with the participation of representatives and experts of Member States for the years 2017 to 2019, and the costs of implementing the programmes and activities. 3. The established work programme, which covers all areas of civil aviation, undertaken by the Organization following the framework established in the ICAO Business Plan, and taking into account a variety of factors, including: i) the statutory responsibilities and obligations enshrined in the Convention on International Civil Aviation; ii) resolutions and decisions of the Assembly and the Council; iii) emerging issues and priorities as identified by the Rolling Business Plan, Global Aviation Safety Plan (GASP), and Global Aviation Navigation Plan (GANP); iv) recommendations of standing and other bodies such as the Air Navigation Commission (ANC) and the Committee on Aviation Environmental Protection (CAEP); v) expressions of priority expressed by Member States in various forums such as the ICAO World Aviation Forum (IWAF); vi) the No Country Left Behind (NCLB) initiative; and vii) conclusions and recommendations of major conferences and meetings convened by the Organization, other United Nations organizations and other international bodies concerned with civil aviation and related matters. 4. The principal means used by ICAO to accomplish its regular work objectives are (i) meetings of the Assembly, the permanent bodies, conferences, divisional meetings, regional meetings, panels and study groups; and (ii) issuance of documentation, including Standard and Recommended Practices (SARPs). These two principal means are reciprocal and mutually supporting, in that virtually all meetings are conducted on the basis of documentation prepared in advance by the Secretariat (and by States), and the results and decisions of the meetings are communicated to States by publications. Both, meetings within the regions (such as seminars and workshops) and publications (such as technical manuals and circulars), are utilized for implementation purposes and in provision of guidance and assistance to States. In addition, correspondence with and official missions to States are also used to accomplish the objectives of the Organization. 5. Similar to the Regular Programme Budget for the triennium, the Programme Budget for the period 2017 through 2019 was based on Zero Nominal Growth (ZNG) for States assessment. The Council defines ZNG as being built off from the third year of the current approved triennium budget. Therefore, States assessment for was set at CAD million. While capping the assessments to average to the 2016 level over the next three years, the budget of CAD million not only maintains all important existing activities but also incorporates incremental initiatives. 6. The AOSC and ARGF Budgets for the period 2017 to 2019 are found in the Extra-budgetary Funds section of this document. 7

18 STRATEGIC FRAMEWORK AND BUDGET STRUCTURE 7. The Council, at its 196th Session, approved and updated Vision and Mission Statements and the five (5) Strategic Objectives for which remain relevant for : (1) Safety (2) Air Navigation Capacity and Efficiency; (3) Security and Facilitation; (4) Economic Development of Air Transport; and (5) Environmental Protection. 8. In March 2016 at its 207th Session, the Council agreed that the direction and approach outlined by the ICAO Business Plan would provide a suitable framework for developing the Regular Programme Budget. 9. The ICAO Operating Plan of the Business Plan forms the basis for resource allocation, and defines the deliverables and Indicators (KPIs) against which to assess progress to achieve Expected Results. While all programmes under the ICAO Operating Plan of the Business Plan are included in the budget and will be implemented, they differ in size, scope and duration due to the limitation of resources. The Expected Results are further detailed in the ICAO Operating Plan which presents time-bound programme activities and projects. RESULTS-BASED BUDGET 10. This budget continues to be established in Canadian dollars and prepared in a results-based framework. 11. Drawing from the ICAO Business Plan, this budget sets out the strategies and priorities to guide the activities of the Organization to enable States to attain safe, secure, efficient, economically viable and environmentally responsible air transport. It provides an overview of emerging aviation issues and risks facing ICAO. It highlights ten (10) Key Priorities to advance the realization of the fifteen (15) Expected Results attributable to the Organization s five Strategic Objectives, designed to benefit States and the global aviation system. These are supported by a further nine (9) Expected Results attributed specifically to improving the Supporting Strategies. 12. This results-based budget is divided into the five Strategic Objectives, and segregated by Expected Results, and also by Programmes. Each Programme under the Strategic Objectives will have been mandated either by an Assembly Resolution and/or a Council Decision. The main activities of the Organization, under the responsibility of either the Air Navigation Bureau or the Air Transport Bureau, are organized by Programme as part of a comprehensive cycle designed to achieve each Strategic Objective (SO). 13. For each of the Strategic Objective/Supporting Strategies, the Narratives By Strategic Objective section provides the following: Key Priority: shall refer to the priority identified in the Business Plan to ensure that the work programmes of ICAO will bring the greatest benefits to Member States and the global civil aviation system, and will at the same time enable the Organization to play a more active role in addressing the emerging aviation issues and staying abreast of the changing needs of States. Description: a brief description of the supporting function, including a list of the tangible results to be achieved and track the effectiveness of work; concrete deliverables that stem directly from the planned programme or supporting entity. Expected Result/s: long-term impact produced by ICAO activities. Each of the five Strategic Objective has two unique Expected Results attributable to it. An additional five Expected Results are attributable to all the Strategic Objectives while a further nine Expected Results are attributed specifically to improving the Supporting Strategies. Key Outcome: results of delivering the outputs. Resource Requirements: the staff and non-staff requirements needed to perform the activities. 8

19 14. In addition, for each of the Programmes by Strategic Objective and each of the functional entities falling under either Supporting Strategies, the subsequent narrative sections provide the following information: Project/Key Activities: action(s) taken resulting in a value-added and/or specific deliverable(s) which basically provide the purpose(s) of what the resources are for, i.e. what we do. Deliverable (Output) for each key activity: most immediate results of our work activities, the results over which we have the most control of, i.e. what we produce. Outputs include products or services delivered by an office. Concrete deliverables that stem directly from the planned programme or supporting entity. Indicator: measure taken to determine the achievement of desired results, i.e. measures of success. Target: target value of the corresponding Indicator, i.e. indicates the threshold to be reached to be successful. 15. The resources required are presented by the Expected Results, and also at the Programme level. Annex 1 provides a mapping of the Strategic Objectives, Key Priorities, Expected Results, the Programmes vis-à-vis the relevant organizational unit responsible. In so doing, the Organization retains the ability to manage the budget by: (i) Strategic Objective; (ii) Programme; and (iii) cost center. 16. The seven Regional Offices support all Strategic Objectives and perform their own programme support and administration functions. The present regional structure, comprises the following regions which are being served by headquarters and the corresponding regional offices: i) Africa-Indian Ocean (AFI) Region Western and Central African (WACAF) Office in Dakar, Senegal ii) Africa-Indian Ocean (AFI) Region Eastern and Southern African (ESAF) Office in Nairobi, Kenya iii) Asia and Pacific (ASIA/PAC) Region Asia and Pacific (APAC) Office in Bangkok, Thailand iv) Caribbean and South American (CAR/SAM) Region South American (SAM) Office in Lima, Peru v) European (EUR) and North Atlantic (NAT) Regions European and North Atlantic (EUR/NAT) Office in Paris, France vi) Middle East (MID) Region Middle East (MID) Office in Cairo, Egypt vii) North American (NAM) Region North American, Central American and Caribbean (NACC) Office in Mexico City, Mexico 17. To strengthen the presence of ICAO in the APAC region, a Regional Sub-Office located in Beijing, China, was opened in June This is still the only Regional Sub-Office for the Organization and is under the umbrella of the APAC Regional Office. In addition to one Professional post at a P-5 level to manage this sub-office, one additional Professional post for Safety and Implementation has been provided for in this budget, as recommended by the Evaluation and Internal Audit Office (EAO). All remaining resource requirements are still being provided by Member States at no cost to the Organization. 18. The Regional Offices Operating Plan has been incorporated with those for each of the Strategic Objectives under the Narratives By Strategic Objective section. This provides details on the Key Outcome, Key Activities, Deliverables/Outputs, and Indicators/Targets. 19. The diagram on page 21 includes the Organization s vision and mission statements; an overview of the Strategic Objectives and its corresponding Programmes; and the functional entities under the Supporting Strategies. 9

20 FRAMEWORK OF THE BUDGET 20. This budget has been developed keeping in mind the ICAO Business Plan, the set of recommendations endorsed by the Council reflecting the strategy for the 2017 to 2019 Budget, and consistent with the direction provided in the Charter Letter from the President of the Council on behalf of the Council to the Secretary General dated 2 April In response to the Charter Letter, the budget was developed with, as its basis, ICAO s Strategic Objectives and new initiatives identified in the ICAO Business Plan, including the No Country Left Behind (NCLB) initiative. Moreover, the budget reflected the efforts made by the Secretary General to reduce costs and seek efficiencies for the Organization. Bureaus and Offices were directed to review all programmes, operational and business processes and procedures to identify cost savings and efficiency gains before the budget preparation. 22. In view of Zero Nominal Growth (ZNG) principle being applied to States assessments, the Organization had to rely upon efficiencies, savings, and non-assessed income in order to carry out an expanded Operating Plan. Critical tasks associated with response to emerging and unanticipated global aviation issues such as Search and Rescue (SAR), risks to civil aviation arising in conflict zone, cyber security, among others, were included in the budget proposal for the triennium. In addition, the Regional Offices are strengthened by an increase of 14 posts under the Professional category, and transfer of travel resources from Headquarters to the Regional Offices. Although there is no distinct amount for contingency funding per se was included in the budget, the Organization would need to responsibly manage crisis situations within its available resources. 23. This budget preserves all current programmes without an increase in headcount in Headquarters through re-prioritization of resources, in addition to the new initiatives and exigencies. The following enhancements and efficiency gains are incorporated in this budget: a) Strengthening of the Regional Offices. This is made possible with the generosity of the Canadian government which saves the Organization CAD 2.0 million annually by way of rental fee. This savings will be utilized to finance seven technical officers for Safety and technical assistance at the P-4 level, for each of the seven Regional Offices, plus two P-4 Officers for the Comprehensive Regional Implementation Plan for Aviation Security and Facilitation in Africa (AFI SECFAL Plan) in the WACAF and ESAF Offices. In addition, two P-4 Security officers will be added, for the APAC and SAM Offices to be funded by the additional contribution from the Incentive Scheme for Long-Outstanding Arrears Account (sub-paragraph 23 f) refers) and two P-4 Technical Officers for Security and Assistance will be transferred from HQ to the Regional Offices. Also, one P-4 post will be added in the Beijing Regional Sub-Office (APAC RSO), as recommended by the internal auditors, to be financed by the additional contribution of the ARGF (sub-paragraph 23 m) refers). b) Further enhancements to the Regional Offices by transferring 10% of travel budget from HQ to the Regional Offices. c) Provision of most critical Search and Rescue, Meteorological and Emergency Response functions within existing headcount. d) Reduction of mission travel budget across the board, with greater emphasis in HQ as a result of increased capacity in the Regional Offices. e) One professional position at the P-3 level transferred from out of Human Resources to ATB. This position is to be used for cybersecurity. f) Additional CAD 1.0 million contribution from the Incentive Scheme for Long-Outstanding Arrears Account. g) Enhancement of IT infrastructure by CAD 2.0 million. Additional funding is provided to the ICT budget to accommodate expenses related to lifecycle replacement and funding of critical base infrastructure in the Data Centre used for all ICAO programme activities and due in the next triennium. This includes storage technology and accessibility; firewalls, network and application delivery; virtualized, local and cloud-based server infrastructure as well as upgrade of the Regional Offices integrated communication capabilities. h) Strengthening of the Ethics office. Funding for a full-time dedicated Ethics Officer at the P-5 level has also been provided. i) Regularization of one Professional post at P-4 level (Evaluation Specialist) for the Evaluation and Internal Audit Office. 10

21 j) Regularization of one Professional post at P-2 level for the President s Office. k) Provision of CAD 1.5 million (CAD a year) for the procurement and travel services provided by TCB to the Regular Programme as decided by Council (C-DEC 206/1, November 2015). l) Enhance the quality of technical cooperation projects. Quality assurance of technical cooperation projects will be introduced in all the Regional Offices and consequently the annual cost of CAD per Regional Office will be charged to the AOSC Fund. m) Ancillary Revenue Generation Fund (ARGF) support to the Regular Budget to increase by 26% in the next triennium. The contribution will increase from CAD 15.2 million in the current triennium to CAD 19.2 million in the next triennium. n) Commitments and options for the After Service Health Insurance (ASHI). No provision has been made to fund the ASHI liability. However, approximately CAD a year has been added to reflect the increase in pay-as-you-go ASHI costs, as a result of larger number of retirees when compared to the previous triennium and the impact of medical inflation. o) An across-the-board cut of CAD 1.3 million on salary cost. This incremental cut will be realized through the deferment of some end-of-service and recruitment costs in extending some staff members to 65 years old, for the years 2017 and 2018, taking into account organizational priorities and needs. p) Reduction in printing and distribution costs of CAD 1.0 million. Automation and modernization of equipment led to a reduction in headcount required for reproduction services. In addition, the Organization has gradually decreased in the number of printed documentations to its Governing Bodies and events by the implementation of paperless environments. With the implementation of paperless environment, the distribution of printed documentations has also significantly decreased. This has yielded savings in excess of CAD 1.0 million. q) Review of staff needs. All bureaus/offices carried out a review of their headcount with a view to make an assessment of the resource requirements, taking into account the new priorities, retirement of the incumbents and natural attrition. This review process will continue throughout the triennium. r) Current funding level in Language and Publications (LP) maintained, but language services will be enhanced as the Junior Professional Project and Quality Management (QM) will be implemented fully without any increase funding. This is made possible as there will be a transformation of the end-to-end process starting from document production through translation and final dissemination. Measures will be implemented to manage demand while maintaining the quality of language services. s) Maintained vacancy rate of 6.2%. 24. Voluntary contributions into the SAFE, Security, Air Transport, and Environment and Human Resources Development funds will continue to be used to provide focused support for specific unbudgeted activities. In addition, secondments from Member States are still needed to compliment the budget proposal. As of May 2016, the Organization has 33 secondees provided for without any charge to the Regular Programme Budget. 25. Table 1 and Figure 1 show the breakdown of resources by Strategic Objectives and Supporting Strategies, and also by Programme. For comparison purposes, the Approved Budget for the triennium is shown at the Strategic Objectives level, as the budget was allocated by Functions for and not by Programme. It should be noted that as described in paragraph 31 below, Language Services (translation) supporting the Strategic Objectives, is presented as a direct cost to the Strategic Objectives in the last triennium. However, for this budget, all Language Services cost are considered as Programme Support. Of total resources in support of Business Plan activities of CAD million, 85.9 per cent is Programme-related ( Programme and Programme Support [PS]) whereas Management and Administration (MAA) represent 14.1 per cent. 26. Table 2 shows the Programme resources on a full absorption basis, with Direct costs (Programme costs) and an allocation of the Indirect Costs (Programme Support and Management and Administration costs). 27. Table 3 shows the budget for by Expected Results. 11

22 TABLE 1 STRATEGIC OBJECTIVES Programmes BUDGET BY STRATEGIC OBJECTIVES/SUPPORTING STRATEGIES (in '000 CAD) Budget * Total SAFETY 1 - Strategy and Policy 2,115 2,169 2,252 6, % 2 - Flight and Ground Safety 4,770 4,873 5,077 14, % 3 - Implementation Planning and Support 1,013 1,067 1,071 3, % 4 - Monitoring and Oversight 4,112 4,203 4,338 12, % 5 - Regional Offices 10,952 10,869 11,270 33, % Sub-Total SAFETY: 63,630 22,962 23,181 24,008 70, % AIR NAVIGATION CAPACITY AND EFFICIENCY 1 - Strategy and Policy 1,296 1,327 1,384 4, % 2 - Airspace Optimization 2,317 2,562 2,469 7, % 3 - Aerodrome Optimization and Infrastructure 1,492 1,718 1,594 4, % 4 - Implementation Planning and Support 1,199 1,233 1,294 3, % 5 - Regional Offices 8,323 8,275 8,579 25, % Sub-Total AIR NAVIGATION CAPACITY AND EFFICIENCY: 46,586 14,627 15,116 15,320 45, % SECURITY AND FACILITATION 1 - Strategy and Policy 1,039 1,061 1,099 3, % 2 - Aviation Security Policy 1,139 1,166 1,199 3, % 3 - Aviation Security Audit 1,723 1,764 1,813 5, % 4 - Implementation Support and Development 1,117 1,146 1,186 3, % 5 - Facilitation , % 6 - TRIP/MRTD % 7 -Regional Offices 3,159 3,133 3,250 9, % Sub-Total SECURITY AND FACILITATION: 23,793 8,773 8,878 9,173 26, % ECONOMIC DEVELOPMENT OF AIR TRANSPORT 1 - Strategy and Policy , % 2 - Aviation Data and Analysis ,051 2, % 3 - Economic Regulatory Framework , % 4 - Technical Assistance , % 5 - Regional Offices , % Sub-Total ECONOMIC DEVELOPMENT OF AIR TRANSPORT: 7,694 3,112 3,182 3,494 9, % ENVIRONMENTAL PROTECTION 1 - Strategy and Policy , % 2 - Climate Change , % 3 - Environmental Standards , % 4 - Assistance and Implementation Support , % 5 - Regional Offices 1,045 1,039 1,077 3, % Sub-Total ENVIRONMENTAL PROTECTION: 11,668 3,432 3,484 3,883 10, % TOTAL STRATEGIC OBJECTIVES: 153,372 52,906 53,842 55, , % * The budget for has been re-stated, where applicable, for comparative purposes. BUDGETS % of Total 12

23 TABLE 1 (CONTINUATION) SUPPORTING STRATEGIES BUDGET BY STRATEGIC OBJECTIVES/SUPPORTING STRATEGIES (in '000 CAD) Budget * Total PROGRAMME SUPPORT Governing Bodies Assembly and Council Secretariat 1, , % Conference, Security and General Administrative Services 3, , % Administration and Services Management 1, % Information and Communication Technology 1, , % Assembly management 1, ,156 1, % Administrative Support to the ANC , % Sub-total PROGRAMME SUPPORT - Governing Bodies: 10,019 2,566 2,677 3,880 9, % Languages Governing Bodies 13,744 4,930 5,039 5,186 15, % Programmes 23,403 8,394 8,580 8,831 25, % Sub-total PROGRAMME SUPPORT - Languages: 37,147 13,324 13,619 14,018 40, % Direction Office of the President 2,533 1,041 1,065 1,094 3, % Office of the Secretary General 3,196 1,159 1,185 1,216 3, % Evaluation and Internal Audit 3,368 1,195 1,219 1,262 3, % Strategic Planning, Coordination & Partnerships Office , % Communications 1, , % Sub-total PROGRAMME SUPPORT - Direction: 11,074 4,538 4,637 4,778 13, % Programme-related Services Conference, Security and General Administrative Services 9,292 1,846 1,972 2,006 5, % Administration and Services Management % Information and Communication Technology 9,153 3,789 3,964 4,082 11, % Legal and External Relations Services 7,278 2,437 2,398 2,542 7, % Printing and Distribution 6,190 1,751 1,795 2,068 5, % Procurement and Travel services , % Sub-total PROGRAMME SUPPORT - Programme-related services: 32,823 10,529 10,840 11,400 32, % Sub-total PROGRAMME SUPPORT: 91,063 30,957 31,774 34,076 96, % MANAGEMENT & ADMINISTRATION Corporate Services Conference, Security and General Administrative Services 5,575 1,108 1,183 1,204 3, % Administration and Services Management 3, , % Ethics % Budget and Financial Management 12,497 3,800 3,915 4,025 11, % Human Resources 15,172 5,909 6,080 6,262 18, % Information and Communication Technology 4,577 1,894 1,982 2,041 5, % Sub-total Management & Administration: 42,102 13,779 14,253 14,589 42, % TOTAL SUPPORTING STRATEGIES: 133,165 44,736 46,027 48, , % * The budget for has been re-stated, where applicable, for comparative purposes. BUDGETS % of Total TOTAL BUDGET: 286,538 97,642 99, , , % 13

24 STRATEGIC OBJECTIVE PROGRAMME Table 2: BUDGET SUMMARY BY DIRECT/INDIRECT COSTS (in '000 CAD) Direct Costs TOTAL Indirect Costs TOTAL Total Costs TOTAL SAFETY 1 - Strategy and Policy 2,115 2,169 2,252 6,535 1,788 1,854 1,961 5,603 3,903 4,022 4,212 12, Flight and Ground Safety 4,770 4,873 5,077 14,720 4,033 4,166 4,422 12,621 8,803 9,038 9,499 27, Implementation Planning and Support 1,013 1,067 1,071 3, ,701 1,869 1,980 2,003 5, Monitoring and Oversight 4,112 4,203 4,338 12,654 3,478 3,593 3,778 10,849 7,590 7,796 8,116 23, Regional Offices 10,952 10,869 11,270 33,092 9,261 9,292 9,815 28,368 20,213 20,161 21,086 61,460 Sub-Total SAFETY: 22,962 23,181 24,008 70,151 19,417 19,817 20,909 60,142 42,379 42,998 44, , % AIR NAVIGATION CAPACITY AND EFFICIENCY 1 - Strategy and Policy 1,296 1,327 1,384 4,008 1,096 1,135 1,206 3,436 2,392 2,462 2,590 7, Airspace Optimization 2,317 2,562 2,469 7,348 1,959 2,190 2,150 6,300 4,276 4,753 4,619 13, Aerodrome Optimization and Infrastructure 1,492 1,718 1,594 4,804 1,262 1,469 1,388 4,119 2,754 3,187 2,982 8, Implementation Planning and Support 1,199 1,233 1,294 3,726 1,014 1,054 1,127 3,195 2,213 2,287 2,421 6, Regional Offices 8,323 8,275 8,579 25,177 7,038 7,074 7,472 21,584 15,361 15,349 16,051 46,761 Sub-Total AIR NAVIGATION: 14,627 15,116 15,320 45,063 12,369 12,922 13,342 38,633 26,996 28,038 28,663 83, % SECURITY AND FACILITATION 1 - Strategy and Policy 1,039 1,061 1,099 3, ,743 1,918 1,968 2,056 5, Aviation Security Policy 1,139 1,166 1,199 3, ,044 3,005 2,102 2,163 2,244 6, Aviation Security Audit 1,723 1,764 1,813 5,300 1,457 1,508 1,579 4,544 3,180 3,273 3,391 9, Implementation Support and Development 1,117 1,146 1,186 3, ,033 2,957 2,061 2,126 2,219 6, Facilitation , , , TRIP/MRTD , Regional Offices 3,159 3,133 3,250 9,543 2,671 2,678 2,831 8,181 5,831 5,812 6,081 17,724 Sub-Total SECURITY: 8,773 8,878 9,173 26,824 7,418 7,590 7,989 22,997 16,191 16,468 17,161 49, % ECONOMIC DEVELOPMENT OF AIR TRANSPORT 1 - Strategy and Policy , ,809 1,265 1,298 1,357 3, Aviation Data and Analysis ,051 2, ,473 1,667 1,722 1,967 5, Economic Regulatory Framework , ,662 1,098 1,224 1,277 3, Technical Assistance , , Regional Offices , ,508 1,041 1,071 1,154 3,265 Sub-Total ECONOMIC DEVELOPMENT OF AIR TRANSPORT: 3,112 3,182 3,494 9,788 2,632 2,720 3,043 8,396 5,745 5,902 6,538 18, % ENVIRONMENTAL PROTECTION 1 - Strategy and Policy , ,165 1,514 1,554 1,623 4, Climate Change , ,582 1,103 1,135 1,189 3, Environmental Standards , ,921 1,269 1,308 1,584 4, Assistance and Implementation Support , , Regional Offices 1,045 1,039 1,077 3, ,709 1,928 1,926 2,014 5,869 Sub-Total ENVIRONMENTAL PROTECTION: 3,432 3,484 3,883 10,799 2,901 2,978 3,381 9,261 6,333 6,462 7,264 20, % 52,906 53,842 55, ,625 44,736 46,027 48, ,428 97,642 99, , , % % of Total

25 Table 3: BUDGET BY EXPECTED RESULTS STRATEGIC OBJECTIVES KEY PRIORITIES EXPECTED RESULTS Total (in '000 CAD) Safety Continuous Safety Improvements 1 Improved Aviation Safety 7,121 7,172 7,447 21,740 2 Strengthened Regulatory Capacity 9,260 9,374 9,701 28,335 Air Navigation Capacity and Efficiency Security and Facilitation Harmonized Global Air Navigation Modernization Continuous Aviation Security and Facilitation Improvements 3 Increased Air Navigation Capacity 5,035 5,272 5,284 15,591 4 Optimized the performance of the Global Aviation System 4,840 5,073 5,076 14,990 5 Reduced Aviation Security Risk 4,020 4,075 4,207 12,301 6 Improved Efficiency in Border Clearance Operations 1,627 1,637 1,694 4,958 Economic Development of Air Transport Enhanced Role of Aviation for Economic Development 7 Lower Impediments to Air Transport Operations 1,130 1,164 1,271 3,565 8 Increased Use of Aviation as a Development Tool 1,130 1,164 1,271 3,565 Environmental Protection All Strategic Objectives Environmentally Friendly Aviation Quality Data, Analysis and Forecasting No Country Left Behind Training and Capacity Building in Aviation* Technical Assistance and Cooperation* Enhancing the International Legal Framework 9 Improved Environmental Performance of Aviation 1,368 1,393 1,556 4, Reduced Environmental Impact on Global Climate 1,359 1,380 1,513 4, Improved Data, Analysis and Forecasting 3,180 3,231 3,429 9, Strengthened Capacity Development 12,835 12,906 13,431 39, Strengthened Aviation Professional Skills 14 Optimized Capacity and Project Delivery 15 Strengthening the Rule of Law 2,437 2,398 2,542 7,377 Sub-total: 55,343 56,239 58, ,001 Supporting Strategies** Improved efficiency and effectiveness Improving Supporting Strategies and Improving Performance 42,299 43,629 46, ,052 Total Budget 97,642 99, , ,053 * These Key Priorities are supported by Extra-Budgetary Funds. ** Excludes Legal and External Relations Services - presented under Expected Result 15: Strengthening the Rule of Law 15

26 28. Within Programme, the five Strategic Objectives account for a total combined resources of CAD million or 53.8 per cent of the total budget available for Business Plan activities. Programme Support accounts for CAD 96.8 million or 32 per cent of the total budget available. 29. Programme Support is defined as expenditure where the target audience for a staff member s or work unit s output is external whereas Management Administration is expenditure where the target audience for a staff member s or work unit s output is internal. 30. Management and Administration Governing Bodies has been renamed to Programme Support Governing Bodies and remains to reflect the cost needed to support the meetings of the Assembly, Council and its subsidiary bodies. 31. In the triennium, the costs for Language Services was distributed 63% to Programme costs and 37% to Programme Support-Languages for Governing Bodies. The portion attributed to Programmes was embedded within the Strategic Objectives. In the current budget, the 63%-37% split of the Language budget is maintained, but instead of embedding the 63% cost under each Strategic Objective, the amount is reflected separately under Programme Support-Languages. 32. Out of the CAD million budget for direct implementation of the Strategic Objectives, CAD 39.2 million is the estimated cost for the No Country Left Behind (NCLB) initiative, provided both in HQ and the Regional Offices, to States. 33. As mentioned in paragraph 16, the Regional Offices support all Strategic Objectives. Thus, resources for the Regional Offices, as in Budget, are provided and managed by each corresponding office. Except for the costs of those Technical Officers and Technical Assistants who are dedicated to a specific Strategic Objective, an allocation ratio was applied against all other resources to spread their cost over the five Strategic Objectives: 42 per cent on Safety, 40 per cent on Air Navigation Capacity and Efficiency; 10 per cent on Security and Facilitation; 3 per cent on Economic Development of Air Transport; and 5 per cent on Environmental Protection 16

27 and Sustainable Development of Air Transport. These percentages, based on management s best (average) estimates on how much time is being spent for each Strategic Objective, is a simplified yet more efficient method of allocating Regional Office costs to the Strategic Objectives. The resources, by Strategic Objective, for each regional office can be found in Table 5 in the Programme Narratives By Strategic Objective Section. 34. All resource requirements of the Office of the Secretary General and the Office of the President fall under Executive Management function in Programme Support except for the resources required for the 2019 Assembly which has been allocated to the Programme Support Governing Bodies. 35. Communications and Evaluation and Internal Audit supporting strategies are now shown as Programme Support instead of Management and Administration. All comparative data for in Table 1 have been adjusted to reflect this. 36. All corporate costs such as maintenance for the premises, reimbursement to UN bodies, contribution to joint UN activities, staff welfare, training, information technology, etc. form part of the resources falling under the Supporting Strategies in particular, functional entities under the Bureau of Administration and Services. The percentage applied, based on managers experience and best estimates, are as follows: Percentages applied to resources under the Bureau of Administration and Services Supporting Strategy Programme Support PS-GB MAA Administrative Services Management 15% 20% 65% Assembly and Council Secretariat 100% Conference Security and General Services 50% 20% 30% Human Resources 100% Information Technology 60% 10% 30% Language Services 63% 37% 37. Comparative data for 2014 to 2016 in Table 1 can be displayed at a higher level only (at Strategic Objective level) because of the fact that there is no direct link between the Programmes in this budget and the five Functions in the Budget, except that the same five Strategic Objectives have been maintained. For Supporting Strategies (Programme Support and Management and Administration), the figures have been adjusted for comparative purposes. FUNDING OF THE BUDGET 38. The Budget is financed by Assessments on Member States, Reimbursement from the Technical Cooperation Programme s Administrative and Operational Services Costs Fund (AOSCF), Transfer from the Ancillary Revenue Generation Fund (ARGF) surplus, Transfer from Incentive Scheme for Long-Outstanding Arrears Account, and Miscellaneous Income. 39. Table 4 below provides the comparison of the funding sources of the Regular Programme Budget between the two triennia. 17

28 Table Total % of Total Total % of Total $ incr. % incr. Assessments of States 86,120 88,075 92, ,550 93% 89,343 91,540 96, ,064 92% 10, % Reimbursement from AOSC Fund 1,231 1,260 1,291 3,782 1% 1,202 1,202 1,202 3,606 1% (176) -4.7% Transfer from ARGF Surplus 5,082 5,082 5,082 15,246 5% 6,415 6,415 6,415 19,246 6% 4, % Incentive Scheme ,000 0% 1, % Miscellaneous Income % ,136 0% % NOTE: Rounding differences may occur BUDGET - SOURCES OF FUNDS (in thousands of CAD) 92,752 94,737 99, , % 97,642 99, , , % 15, % 40. Although the above Table 4 reflect a 3.9% increase in Member States assessment for when compared to the budget, there is no increase when compared to 2016 assessment. As decided by the Council, Zero Nominal Growth caps the assessment for budget at three times the 2016 assessment i.e. at CAD million. 41. Reimbursement from AOSCF, Transfer from the ARGF Surplus, Incentive Scheme for Long-Outstanding Arrears Account, and Miscellaneous Income are used to further assist in financing the Regular Programme Budget and thus reduces amounts assessed on Member States. 42. The Reimbursement from AOSCF is based on the annual recovery amount of CAD 1.2 million approved by Council during the 200th session (C-DEC 200/2, November 2013), without taking into consideration any inflation. The estimated amount for the triennium is CAD 3.6 million, a decrease of 4.7% as compared to triennium and a decrease of 32.1% as compared to triennium. 43. Transfer from the ARGF Surplus represents the amount to be contributed to the Regular Programme Budget from the ARGF. The Transfer of ARGF Surplus is projected to increase to CAD 19.2 million for the triennium, from CAD 15.2 million, a CAD 4.0 million increase for the triennium, or 26.2% increase. 44. There was an unreserved surplus of approximately CAD 1.0 million in the Incentive for Settlement of Long-Outstanding Arrears Account (Incentive Fund) as at 31 December This Account was established to finance new or unforeseen projects related to aviation safety, security and/or enhancement of the efficient delivery of ICAO programmes. The Council had agreed to use the unreserved surplus to add the resources of the Regional Offices (C-DEC 208/11, June 2016) Consequently, this contribution will be used for funding two additional Security Officer posts at the P-4 level, at the APAC and SAM Regional Offices. 45. Miscellaneous Income is composed mostly of investment income which includes interest income expected from the investment of funds in the Working Capital fund. Under Assembly Resolution A26-23, in preparing the Budget, provision should only be made for interest income which is expected to be earned from investment of unutilized Working Capital Funds. No provision should be made for other interest income which would be dependent on the timing of contribution payments by Contracting States, since the timing of contribution payments is outside the Organization s control. Actual interest income has not been increasing over the years due to low interest rates thus the estimates remained constant. Other miscellaneous income includes profits on sale of used Property, Plant and Equipment and Intangible Assets; profits on sale of recycled paper; and other incidental receipts. Miscellaneous Income for 2017 to 2019 is estimated at CAD 1.1 million, as compared to CAD 1.0 million for The estimated increase of CAD is mainly to compensate for the decrease in contribution from AOSCF over the triennium. 18

29 IMPLICATIONS OF IPSAS ADOPTION ON BUDGETING PRACTICES 46. The United Nations (UN) and the UN system Chief Executive Board (CEB) have adopted the International Public Sector Accounting Standards (IPSAS). IPSAS are a set of independently developed accounting standards, which require adoption of accounting on a full accrual basis. IPSAS were implemented at ICAO effective 1 January The approved budgets of ICAO, which include those of the Regular Programme and Technical Cooperation Programme (AOSCF) are presented to and approved by the Assembly and, therefore, are publicly available and subject to IPSAS requirements. IPSAS require that these budgets be compared with actual amounts in the financial statements. In order to facilitate a fair comparison of these budgets with actual amounts, which are accounted for and presented on an accrual basis as required by IPSAS, these budgets are also prepared on an accrual basis of accounting. This implies particularly that the budgets: a) are on the basis of services rendered and goods received during the financial year; b) include separately, when applicable, a Capital Budget to cover both tangible and intangible assets, (i.e. for acquisitions of equipment, vehicles, software etc.) with individual items of a value of CAD and CAD respectively or more that are foreseen in 2017 to Paragraph 13 c) of Annex 2 provides the details of the Capital Budget for 2017 to 2019; and c) include separately, those non-cash expenses such as depreciation and amortization of Property Plant and Equipment (PPE), finance leases, intangible assets and any other assets that will be impaired or discounted; goods to be received without charge; profit and loss on disposal of PPE and intangibles (when significant); and the foreseen expense and increased liability for annual leave, repatriation benefits and After Service Health Insurance (ASHI). 48. Financial Regulation 4.4 instructs that the Regular Programme Budget estimates be divided into Programme, Programme Support and Management Administration. This is the same classification used when the Budget is being submitted to the Assembly for approval. This classification scheme adopted differs from the one adopted for the financial statements. The financial statements classify items on the basis of object of expenses (salaries, travel, etc.) and the budget classifies items by Strategic Objectives (safety, security, etc.). ICAO continues to disclose budget and actual information consistent with the budget document. Starting from the 2010 financial year, ICAO produces in its audited financial statements a Statement of Comparison of Budget and Actual Amounts, which compares approved appropriations with actual amounts for the General Fund of the Regular Programme. Additional information is included in the Council Working paper on the annual financial statements and comprises an explanation of material difference between the original and final appropriations and actual amounts. Other publicly available approved budgets are also presented in the financial statements for comparison purposes with actual amounts as required by IPSAS. MOST SIGNIFICANT NON-CASH ITEMS INCLUDED IN BUDGETS 49. The most significant foreseen non-cash expenditures for 2017 to 2019 to be accounted for in order to comply with IPSAS pertain to employee benefits for: a) After Service Health Insurance (ASHI) benefits, which are currently earned by active employees and also by qualified retired employees during the years of service; b) Annual Leave that are generally payable to employees at end-of-service; and c) Repatriation Benefits, which are payable to internationally-recruited staff members at end of service. Depreciation/amortization of tangible and intangible assets also represent a non-cash expense. a) Each year, the After Service Health Insurance (ASHI) unfunded liability is estimated upon an actuarial valuation. The net change in this liability is difficult to predict because the size of the liability is influenced by a large number of unpredictable variables, such as medical inflation, the rate of interest used to discount the liability, the demographic composition of the retiree population, and longevity. With regard to the possible funding of these liabilities, the Secretariat will continue to follow the ongoing development of this matter in the framework of the UN System and will report to the Council. 19

30 b) IPSAS also requires that tangible and intangible assets of the Organization be reflected in the accounts. From an accounting point of view, this means asset acquisitions (tangible or intangible) are no longer treated as expenses in the accounts. From a budget perspective, funds are still required to purchase an asset, even if the expense is spread over several years in the financial statements (a process known as Depreciation). For 2017 to 2019, expenses will include depreciation on property, plant and equipment, finance leases and intangible assets. It is estimated that the amount of depreciation/amortization will be in the range of CAD 1.4 million per year for the triennium 1. Depreciation/amortization does not require funding since the items capitalized, on which depreciation/amortization is calculated, were funded at the time of purchase. 50. The above-mentioned non-cash expenses, not requiring funding under the 2017 to 2019 Budgets are herewith presented to the Assembly as additional estimates to the prepared budgets for its information and consideration. 1 Figure includes depreciation of all ICAO-owned assets regardless of funding source. 20

31 ICAO STRATEGIC FRAMEWORK VISION: Achieve the sustainable growth of the global civil aviation system. MISSION: The International Civil Aviation Organization is the global forum of States for GOVERNING international BODIES civil aviation. ICAO develops policies, standards, undertakes compliance audits, performs studies and analysis, provides assistance and builds aviation capacity through the cooperation of Member States and stakeholders. STRATEGIC OBJECTIVES SAFETY AIR NAVIGATION CAPACITY AND EFFICIENCY SECURITY AND FACILITATION ECONOMIC DEVELOPMENT OF AIR TRANSPORT ENVIRONMENTAL PROTECTION 1-Strategy and Policy 2-Flight and Ground Safety 3-Implementation Planning & Support 4-Monitoring and Oversight 5-Regional Offices 1-Strategy and Policy 2-Airspace Optimization 3-Aerodrome Optimization & Infrastructure 4-Implementation Planning & Support 5-Regional Offices 1-Strategy and Policy 2-Aviation Security Policy 3-Aviation Security Audit 4-Implementation Support & Development 5-Facilitation 6-TRIP/MRTD 7-Regional Offices 1-Strategy and Policy 2-Aviation Data & Analysis 3-Economic Regulatory Framework 4-Technical Assistance 5-Regional Offices 1-Strategy and Policy 2-Climate Change 3-Environmental Standards 4-Assistance & Implementation Support 5-Regional Offices SUPPORTING STRATEGIES PROGRAMME SUPPORT MANAGEMENT AND ADMINISTRATION Governing Bodies Assembly and Council Secretariat Conference, Security and General Administrative Services Administration and Services Management Information and Communication Technology Assembly Management Language Services Administrative Support to the ANC Direction Office of the President Office of the Secretary General Evaluation and Internal Audit Strategic Planning, Coordination and Partnerships Office Communications Programme-related Services Conference, Security and General Administrative Services Administration and Services Management Information and Communication Technology Legal and External Relations Services Printing & Distribution Procurement and Travel Services Language Services Administration and Services Management Budget and Financial Management Conference, Security and General Administrative Services Ethics Human Resources Information and Communication Technology 21

32 (this page intentionally left blank) 22

33 PROGRAMME NARRATIVES BY STRATEGIC OBJECTIVES Safety Air Navigation Capacity and Efficiency Security and Facilitation Economic Development of Air Transport Environmental Protection 23

34 REGULAR BUDGET - RESOURCE REQUIREMENTS Table 5: BUDGET BY STRATEGIC OBJECTIVE AND LOCATION Strategic Objective Year HQ APAC ESAF EURNAT MID NACC SAM WACAF Total Cost in '000 CAD Total SAFETY ,010 1,625 1,864 1,687 1,200 1,328 1,424 1,825 22, ,312 1,616 1,883 1,709 1,185 1,325 1,410 1,740 23, ,737 1,678 1,935 1,794 1,233 1,369 1,442 1,820 24,008 Total: 37,059 4,920 5,682 5,189 3,618 4,021 4,276 5,385 70,151 AIR NAVIGATION CAPACITY AND EFFICIENCY ,304 1, , ,132 1,237 1,286 14, ,841 1, , ,131 1,225 1,211 15, ,741 1, , ,167 1,251 1,271 15,320 Total: 19,886 4,651 2,928 4,443 2,245 3,429 3,712 3,768 45,063 SECURITY AND FACILITATION , , , , , ,173 Total: 17,281 1,635 1, ,776 1,106 1,687 26,824 ECONOMIC DEVELOPMENT OF AIR TRANSPORT , , , , , ,494 Total: 8, ,788 ENVIRONMENTAL PROTECTION , , , , , ,883 Total: 7, ,799 TOTAL ,862 3,812 3,646 3,733 2,403 3,225 3,189 4,035 52, ,948 3,792 3,707 3,791 2,374 3,219 3,175 3,835 53, ,084 3,937 3,800 3,983 2,470 3,325 3,263 4,016 55,878 Total: 89,894 11,541 11,152 11,507 7,247 9,769 9,627 11, ,625 24

35 STRATEGIC OBJECTIVE: SAFETY SAFETY Description Rationale Enhance global civil aviation safety With air traffic projected to double in the next 15 years, current and emerging safety risks must be addressed proactively to ensure that this significant capacity expansion is carefully managed and supported through strategic regulatory and infrastructure developments. It is therefore imperative that States and regions remain focused on establishing, updating and addressing their safety priorities as they continue to encourage expansion of their air transport sectors. To ensure that continuous safety improvement and harmonized global air navigation modernization advance hand-in-hand, global, regional and State aviation safety planning is essential. This also facilitates the safe and sustained growth, increased efficiency and responsible environmental stewardship that societies and economies globally expect and demand of Government aviation agencies and industry. The delivery of the results with respect to this Strategic Objective will contribute to reducing the level of global safety risks and enhance the efficiency and sustainability of the global civil aviation system. Key Priorities: Continuous Safety Improvements; Quality Data, Analysis and Forecasting; No Country Left Behind Expected Result 1: Key Outcome 1: Indicator: Improved Aviation Safety: Enhanced capabilities of States to manage risks, associated with aviation activities to an acceptable level of safety performance Implementation of State Safety Programmes among Member States (An-19 provisions) is increased Number of States having implemented Safety Management provisions (via USOAP results, PQs, SAAQs, CC, efod) Expected Result 2: Key Outcome 2: Indicator: Strengthened regulatory capacity: Enhanced capabilities of States, in particular those with low levels of effective implementation of global standards, to fulfil their mandates Implementation of effective safety oversight systems among Member States Number of States having a score of above 60% effective implementation (EI) of the critical elements (CEs) of a State safety oversight system (via USOAP results, PQs, SAAQs, CC, efod) Expected Result 11: Key Outcome 11: Improved Data, Analysis and Forecasting: Enhanced capabilities of States to use, analysis and exchange aviation data for decision-making and operational improvement and to measure and, to the extent possible, predict the various aspects of civil aviation development Quality, quantity and analysis of aviation data, including forecasts and tools shared with States, are improved Number of analysis using ICAO data, analysis and forecasts 25

36 STRATEGIC OBJECTIVE: SAFETY Expected Result 12: Key Outcome 12: Indicator: Strengthened Capacity Development: Enhanced capabilities of States in particular developing and least developed countries to implement global standards and policies and improve air connectivity ICAO's No Country Left Behind initiatives are implemented Effective implementation rates of safety and security oversight systems; number of outstanding SSCs and/or SSeCs 26

37 STRATEGIC OBJECTIVE: SAFETY REGULAR BUDGET - RESOURCE REQUIREMENTS Programme Year 1 - Strategy and Policy 2 - Flight and Ground Safety Consultancy/ Outsourcing Travel Meetings Other GAT Indirect Costs , ,788 3, , ,854 4, , ,961 4,212 Total: 12, , ,033 8, , ,166 9, , ,422 9, Implementation Planning and Support 4 - Monitoring and Oversight 5 - Regional Offices TOTAL all programmes Posts Man Years Total Cost IP GS in '000 CAD S A F E T Y Non-Posts Total Cost in '000 CAD Total: 27, , , ,003 Total: 5, , ,478 7, , ,593 7, , ,778 8,116 Total: 23, , ,261 20, , ,292 20, , ,815 21,086 Total: 61, , , , ,417 42, , , ,817 42, , , ,909 44,916 Total triennium: 59,667 1,213 5, , , ,293 Total Direct Costs: 70,151 Total Cost in '000 CAD KEY PRIORITIES EXPECTED RESULTS Continuous Safety Improvements 1 - Improved Aviation Safety , , ,447 TOTAL 21, Strengthen Regulatory Capacity 9,260 9,374 9,701 28,335 Quality Data, Analysis and Forecasting 11- Improved Data, Analysis and Forecasting ,779 No Country Left Behind 12 - Strengthened Capacity Development 5,681 5,714 5,902 17,297 Total: 22,962 23,181 24,008 70,151 27

38 STRATEGIC OBJECTIVE: SAFETY Programme 1: Strategy and Policy Key Outcome No. No. Project/Key Activity Deliverable 1 SAF.1.1 Develop, maintain and oversee the GASP Revision implementation of the Global Aviation Safety Plan 1 SAF.1.2 Manage the rapid and coordinated response to crises, contingencies and other situations requiring urgent assistance to States and manage and coordinate the effort to achieve the NCLB goals within the Safety objective 11 SAF.1.3 Review safety levels and respond to the most urgent issues 1,2, 11, 12 SAF.1.4 Support of Assembly, Council, Air Navigation Commission, Council Committees and expert groups 12 SAF.1.5 Collaborate with stakeholders to align resources against common safety challenges 11 SAF.1.6 Share safety information with States and selected international organizations to enable risk assessments 1 SAF.1.7 Develop and implement a riskbased, proactive approach to global safety management 1, 2 SAF.1.8 Develop and implement ICAO policy and provisions to mitigate cyber security risks 12 SAF.1.9 Contribute towards the implementation of the Resource Mobilization Strategy 28 Crisis response plans (reactive/proactive); Coordinated Urgent Assistance to States; Contingency plans; and Assessment of Corrective Action Plans to address SSCs Review of safety levels and urgent issues published in annual safety report Documentation required for governing bodies; Secretary role for governing bodies; and Amendments to the Annexes and PANS Indicator/Target GASP endorsed by Assembly (2019) 99% of the time initial response within 24 hours; Successful resolution of the issue (90% of the time) Report published 1st QRT of 2017, 2018 and WPs per year; 90% of actions (Reponses to Council Decisions) to be implemented per year Agreements with stakeholders 5 by 2019 Safety data and information State Safety briefs; Tools for States to facilitate their own safety analysis (ISTARS analysis capabilities); Safety Tools to maintain safety information (e.g. Electronic Notification of Differences (efod), and Air Operator Certificate (AOC) registry, location indicators, designators) Global Standards and Policies Identification of potential donors and development of specific projects for voluntary funds and/or grants for the provision of technical assistance for the States 5 participants (providing data) by State Safety briefs on demand / 5 new Apps; 80% of States linked in to tools by 2019; Timely publication of data (yearly or quarterly depending on the document)/50% of data available electronically by 2019 Strategy agreed (by 2018) Review of project plan in lq each year

39 STRATEGIC OBJECTIVE: SAFETY Programme 2: Flight and Ground Safety Key Outcome No. 1, 2 SAF.2.1 Increase harmonization of the regulatory approach to air operators approvals and recognition (ANIWP:ROI-02) 1, 2 SAF.2.2 Improve safety performance at and in the vicinity of aerodromes (ANIWP:ROI-04) No. Project/Key Activity Deliverable 1, 2 SAF.2.3 Facilitate access by RPA to nonsegregated airspace (ANIWP:ROI- 07) 1, 2 SAF.2.4 Improve in-flight safety performance (ANIWP:ROI-10) 1, 2 SAF.2.5 Human Performance (ANIWP: ENB- HF) 1, 2 SAF.2.6 Safety Management (ANIWP:ENB-SM) 1, 2 SAF.2.7 Develop and deliver global standards and policies to address critical safety issues concerning Cargo Safety, Accident investigation, Search and Rescue, Aviation Medicine, Personnel licensing, and other areas 1, 2, 11 SAF.2.8 Global Flight Tracking and Conflict Zone Risks Global Standards and Policies/Guidance Material/Workshops Global Standards and Policies/Guidance Material/Workshops Global Standards and Policies/Guidance Material/Workshops Global Standards and Policies/Guidance Material/Workshops Global Standards and Policies/Guidance Material/Workshops Global Standards and Policies/Guidance Material/Workshops Global Standards and Policies/Guidance Material/Workshops Global Standards and Policies/Guidance Material/Workshops Indicator/Target 4 Amendments/1 Manuals/1 Train the trainer workshops 12 Amendments/1 Manuals/1 Train the trainer workshops 30 Amendments/2 Manuals/2 Train the trainer workshops 4 Amendments/1 Manuals/1 Train the trainer 4 Amendments/1 Manuals/1 Train the trainer workshops 10 Amendments/2 Manuals/3 Train the trainer workshops 14 Amendments/8 Manuals/4 Train the trainer workshops 1 Amendments/ 1 Manuals/1 Train the trainer workshops 29

40 STRATEGIC OBJECTIVE: SAFETY Programme 3: Implementation Planning and Support Key Outcome No. 2,12 SAF.3.1 Support ICAO Regional Offices in assisting States with the implementation of improvements to safety including the development and implementation of Plans of Action and Technical Assistance projects No. Project/Key Activity Deliverable 2 SAF.3.2 Harmonize the work of regional safety groups with global strategies and priorities and provide technical expertise as necessary to RASGs, COSCAPs, RSOOs, AFI Plan and other regional safety programmes and projects 12 SAF.3.3 Coordinate the ICAO Aviation Safety Implementation Assistance Partnership (ASIAP) and manage the ICAO Safety Fund (SAFE) 2 SAF.3.4 Support technical development and implementation of ICAO Technical Cooperation projects 12 SAF.3.5 Coordinate the ICAO Next Generation of Aviation Professionals (NGAP) Programme and the ICAO Runway Safety Programme 12 SAF.3.6 Coordinate the development and maintenance of safety implementation kits 2, 12 SAF.3.7 Coordinate the Monitoring and Assistance Review Board (MARB) Implementation Plans of Action to improve safety; Technical Assistance Projects related to safety improvements; and Recurrent training of the Regional Offices professional staff Direct support to Regional initiative activities; Regional programmes and projects that are harmonized with the Global Plans Increased level and ASIAP Partners; and Development and assessment of projects supported by SAFE Technical Cooperation Projects supported Agreement on strategies for addressing NGAP priorities; and Assessment of progress of the Runway Safety Programme and agreement on next steps Implementation Kits Agreement on action to be taken to address safety concerns reviewed by the MARB; MARB Report Indicator/Target Plans of Action for all States with EI<40% by 2019; TA projects identified for all States prioritized by ASIAP by 2019; 40 Regional Officers trained by 2019 Respond to all requests for support received 5 new ASIAP members by 2019; 10 new SAFFE funded projects by 2019 Respond to all requests for support received Incorporate in the NGAP operating plan by 2019 Report on the outcome of the ICAO RSP by meetings and 3 reports to Council by

41 STRATEGIC OBJECTIVE: SAFETY Programme 4: Monitoring and Oversight Key Outcome No. 2 SAF.4.1 Monitor Member States through USOAP Continuous Monitoring Approach (CMA) No. Project/Key Activity Deliverable 2 SAF.4.2 Manage USOAP audits to determine States' level of effective implementation of SARPs and critical elements of Safety Oversight System 1, 12 SAF.4.3 Manage ICAO Coordinated Validation Missions (ICVM) and off site validation activities to confirm progress made by States 2 SAF.4.4 Manage ICAO Off site Validation activities to confirm progress made by States 12 SAF.4.5 Manage activities related to Significant Safety Concerns (SSCs) 2 SAF.4.6 Building States capacity in performing oversight responsibilities through the conduct of seminar and workshops 2 SAF.4.7 Maintain public and Member States' confidence in programme deliverables by maintaining ISO 9001 certification in order of ensuring adherence to programme principles and through the application of consistent and objective criteria and methodology in the conduct of CMA activities Assessment of Corrective Action Plans when more than 75% progress is made USOAP CMA Audits ICVMs Off-site validation activities Assessment of SSC Corrective Actions when progress has been submitted Workshops/Seminars ISO 9001 certification; and Satisfaction rate on State Feedback forms from CMA activities Indicator/Target 90% 10 per year 15 per year 15 per year 100% 2 per year Maintain ISO 9001 certification and achieve 85% satisfaction rate 31

42 STRATEGIC OBJECTIVE: SAFETY Programme 5: Regional Offices Asia and Pacific Key Outcome No. No. Project/Key Activity Deliverable 1, 2 SAF. APAC.1 1, 2, 12 SAF. APAC.2 1, 2 SAF. APAC.3 1, 2, 12 SAF. APAC.4 Assist States in the implementation of policies and provisions to address critical safety issues concerning Safety Management, Search and Rescue, and other areas Develop, and measure progress against regional Safety priorities through Regional Plans and Regional Aviation Safety Groups (RASGs) Assist States in the implementation of policies and provisions to improve in- flight safety performance (ANIWP :ROI-10) and Improve safety performance at and in the vicinity of aerodromes (ANIWP:ROI-04) Monitor Member States through USOAP Continuous Monitoring Approach (CMA) and assist States in developing tailored plans of action to address risk. Build State capacity in performing oversight responsibilities through the conduct of seminars and workshops Establishment of SAR Team of Experts; Assistance to States and workshops/seminars on implementation of SAR requirements through regional workshops in coordination with adjacent regions; Improve regional EI in CE-3 area; and Increased level of implementation of safety policy and SMS Early identification of lags against agreed safety priorities through RASG Assistance to States through workshops/seminars based on available ICAO SARPs and Guidance Material Assessment of Corrective Action Plans in coordination with ANB/MO when prerequisites are met. (more than 75% progress). Participation in ICVM missions. Workshops/Seminars Indicator/Target 1 SAR Team of Experts established for the APAC Region; 1 SAR regional workshop; Percentage of States with an effective and operational SAR organization maintained at current (2015) levels; and 10-20% SMS by all States by 2019 Continuous monitoring of safety performance/ Annual safety reports; and 50% of actions (Reponses to RASG Decisions) to be implemented per year 1 workshops conducted; and of State experts successfully completed workshops 40% State CAPs assessed; and APAC States above global EI average of 60% maintained at current (2015) levels. 32

43 STRATEGIC OBJECTIVE: SAFETY Key Outcome No. 1, 2, 12 SAF. APAC.5 No. Project/Key Activity Deliverable Support the rapid and coordinated response to crises, contingencies and other situations requiring urgent assistance to States and support the effort to achieve the NCLB goals within the Safety objective Timely response to crises; Coordinated Assistance to States; and Contingency plans Assessment of Corrective Action Plans to address SSCs Indicator/Target 99% of the crises initially responded to within 24 hours; and Successful resolution of the issue (90% of the time) Eastern and Southern African Key Outcome No. No. Project/Key Activity Deliverable 1, 2 SAF. ESAF.1 Assist States in the implementation of policies and provisions on Search and Rescue Establishment of SAR Team of Experts; and Assistance to States and workshops/seminars on implementation of SAR requirements through regional workshops in coordination with adjacent regions (WACAF, APAC and MID) Indicator/Target 1 SAR Team of Experts established for the AFI Region; 1 SAR regional workshops conducted;. And 40% States with an effective and operational SAR organization by end of , 2, 12 SAF. ESAF.2 Develop, and measure progress against regional Safety priorities through Regional Plans and Regional Aviation Safety Groups (RASGs) Assistance to States in implementation of Abuja safety targets through the AFI Plan work programme and RASG-AFI activities 60-70% Abuja safety targets implemented by States by Dec 2017; and 50% of actions (Reponses to RASG Decisions) to be implemented per year 1, 2 SAF. ESAF.3 Assist States in the implementation of policies and provisions to improve in-flight safety performance (ANIWP :ROI-10), improve safety performance at and in the vicinity of aerodromes (ANIWP :ROI-04) and facilitate access by RPA to non-segregated airspace (ANIWP :ROI-07) Assistance to States through workshops/seminars on in-flight safety performance; Assistance to States in establishing runway safety teams; and Assistance to States in establishing a regulatory framework and procedures through workshops/seminars on RPAS 60% of international airports with operational runway safety teams; 1-2 workshops conducted; and of State experts successfully completed workshops 33

44 STRATEGIC OBJECTIVE: SAFETY Key Outcome No. 1, 2, 12 SAF. ESAF.4 1, 2, 12 SAF. ESAF.5 No. Project/Key Activity Deliverable Monitor Member States through USOAP Continuous Monitoring Approach (CMA) and assist States in developing tailored plans of action to address risk. Build State capacity in performing oversight responsibilities through the conduct of seminars and workshops Support the rapid and coordinated response to crises, contingencies and other situations requiring urgent assistance to States and support the effort to achieve the NCLB goals within the Safety objective Assessment of Corrective Action Plans in coordination with ANB/MO when prerequisites are met.(more than 75% progress); and Participation in ICVM missions. Workshops/Seminars Timely response to crises; Coordinated Assistance to States; Contingency plans; and Assessment of Corrective Action Plans to address SSCs Indicator/Target 10% State CAPs assessed per year; and Improved regional EI average 99% of the crises initially responded to within 24 hours; and Successful resolution of the issue (90% of the time) European and North Atlantic Key Outcome No. No. Project/Key Activity Deliverable 1, 2 SAF. EURNAT.1 Assist States in the implementation of policies and provisions to address critical safety issues concerning Human Performance, Search and Rescue and other areas Improve EI in the SAR area; and Improve regional EI in CE-3 area Indicator/Target 60% regional EI in SAR area by 2019; and 50% regional EI by , 2, 12 SAF. EURNAT.2 Develop, and measure progress against regional Safety priorities through Regional Plans and Regional Aviation Safety Groups (RASGs) Early identification of lags against agreed safety priorities through RASG EUR and NAT SPG Continuous monitoring of safety performance/ Annual safety reports; and 50% of actions (Reponses to RASG Decisions) to be implemented per year 1, 2 SAF. EURNAT.3 Monitor Member States through USOAP Continuous Monitoring Approach (CMA) and assist States in developing tailored plans of action to address risk Assessment of Corrective Action Plans in coordination with ANB/MO when prerequisites are met.(more than 75% progress); and participation in ICVM missions 50% State CAPs assessed; and Improved regional EI average 34

45 STRATEGIC OBJECTIVE: SAFETY Key Outcome No. 1, 2, 12 SAF. EURNAT.4 1, 2 SAF. EURNAT.5 No. Project/Key Activity Deliverable Support the rapid and coordinated response to crises, contingencies and other situations requiring urgent assistance to States and support the effort to achieve the NCLB goals within the Safety objective Improve safety performance at and in the vicinity of aerodromes (ANIWP :ROI-04) Timely response to crises; Coordinated Assistance to States. Contingency plans; and Assessment of Corrective Action Plans to address SSCs Organise Runway Safety Go Teams to assist in the implementation of RSTs and runway safety programme Indicator/Target 99% of the crises initially responded to within 24 hours; and Successful resolution of the issue (90% of the time) 1 per year Middle East Key Outcome No. 1, 2 SAF. MID.1 No. Project/Key Activity Deliverable Assist States in the implementation of policies and provisions to address critical safety issues concerning Safety Management, Search and Rescue, and other areas 35 Establishment of SAR Team of Experts; Assistance to States on implementation of SAR requirements; Regional/Interregional workshops in coordination with adjacent regions as appropriate; and Increased level of implementation of safety management requirements in accordance with the MID Region Safety Strategy and GASP Indicator/Target 1 SAR Team of Experts established for the MID Region; 2 Assistance Missions on implementation of SAR requirements by 2019; 1 SAR regional/interregio nal workshop conducted successfully by 2019; Development of MID SAR Plan/Guidance Material; 50% States with an effective and operational SAR organization by end of 2019; 1 meeting per year addressing SAR; 1 meeting per year addressing safety management Workshops/semina rs on safety management conducted, as requested by RASG- MID; 50% of MID States with

46 STRATEGIC OBJECTIVE: SAFETY Key Outcome No. 1, 2, 12 SAF. MID.2 1, 2 SAF. MID.3 No. Project/Key Activity Deliverable Develop, and measure progress against regional Safety priorities through Regional Plans and Regional Aviation Safety Groups (RASGs) Assist States in the implementation of policies and provisions to improve in-flight safety performance (ANIWP :ROI-10) and improve safety performance at and in the vicinity of aerodromes (ANIWP :ROI-04) Early identification of lags against agreed safety priorities through RASG MID Assistance to States through workshops/seminars based on available ICAO SARPs and Guidance Material; and Organize Runway Safety Go Teams to assist in the implementation of RSTs and runway safety programme Indicator/Target EI>60% to complete implementation of SSP by 2019; 80% of MID States with EI>60% established a process for acceptance; of individual service providers SMS to by 2018; and 70% achievement of milestones by 2018 Continuous monitoring of safety performance and regional safety targets; 1 Annual safety report per year; and 70% achievement of milestones 70% of workshops conducted as requested by RASG- MID; 1 RS Go-Team mission per year (if requested by States); 70% of the Workshops/semina rs requested by RASG- MID conducted; and State experts successfully completed workshops 1, 2, 12 SAF. MID.4 Monitor Member States through USOAP Continuous Monitoring Approach (CMA) and assist States in developing tailored plans of action to address risk. Build State capacity in performing oversight responsibilities through the conduct of seminars and workshops Assessment of Corrective Action Plans in coordination with ANB/MO when prerequisites are met.(more than 75% progress); Participation in ICVM missions; and Workshops/Seminars States CAPs assessed within 2 months after completion; Increase the regional average EI to be above 65% by 2019; 8 States to have at least 60% EI by 2019; Support ICVM missions, to the extent possible; and 70% achievement of milestones 36

47 STRATEGIC OBJECTIVE: SAFETY Key Outcome No. 1, 2, 12 SAF. MID.5 No. Project/Key Activity Deliverable Support the rapid and coordinated response to crises, contingencies and other situations requiring urgent assistance to States and support the effort to achieve the NCLB goals within the Safety objective Timely response to crises; Coordinated Assistance to States; Contingency plans; and Assessment of Corrective Action Plans to address SSCs Indicator/Target 99% of the crises initially responded to within 24 hours. Successful resolution of the issue (90% of the time) 37

48 STRATEGIC OBJECTIVE: SAFETY North American, Central American and Caribbean Key Outcome No. No. Project/Key Activity Deliverable 1, 2 SAF. NACC.1 1, 2, 12 SAF. NACC.2 1, 2 SAF. NACC.3 1, 2, 12 SAF. NACC.4 1, 2, 12 SAF. NACC.5 Assist States in the implementation of policies and provisions on Safety Management (ANIWP :ENB- SM) Develop, and measure progress against regional Safety priorities through Regional Plans and Regional Aviation Safety Groups (RASGs) Assist States in the implementation of policies and provisions to improve safety performance at and in the vicinity of aerodromes (ANIWP :ROI-04) Monitor Member States through USOAP Continuous Monitoring Approach (CMA) and assist States in developing tailored plans of action to address risk. Build State capacity in performing oversight responsibilities through the conduct of seminars and workshops Support the rapid and coordinated response to crises, contingencies and other situations requiring urgent assistance to States and support the effort to achieve the NCLB goals within the Safety objective Increased level of implementation of safety policy and SMS Early identification of lags against agreed safety priorities through RASG Organize Runway Safety Go Teams to assist in the implementation of RSTs and runway safety programme Assessment of Corrective Action Plans in coordination with ANB/MO when prerequisites are met.(more than 75% progress). Participation in ICVM missions. Workshops/Seminars Timely response to crises; Coordinated Assistance to States; Contingency plans; and Assessment of Corrective Action Plans to address SSCs Indicator/Target 30% SMS in States by 2019; (Implementation of Phase I and II) by 19 States by 2019 Continuous monitoring of safety performance/ Annual safety reports; and 80% of actions (Reponses to RASG Decisions) to be implemented per year 1 per year 80% State CAPs assessed; Improved regional EI average from 69% to 75% by % of the crises initially responded to within 24 hours. Successful resolution of the issue (90% of the time) 38

49 STRATEGIC OBJECTIVE: SAFETY South American Key Outcome No. No. Project/Key Activity Deliverable 1, 2 SAF. SAM.1 1, 2 SAF. SAM.2 1, 2, 12 SAF. SAM.3 1, 2 SAF. SAM.4 1, 2, 12 SAF. SAM.5 1, 2, 12 SAF. SAM.6 Assist States in the implementation of policies and provisions to address critical safety issues concerning Safety Management, Personnel licensing, and other areas Assist States on the management of the SRVSOP (LATAM RSOO) Develop, and measure progress against regional Safety priorities through Regional Plans and Regional Aviation Safety Groups (RASGs) Assist States in the implementation of policies and provisions to facilitate access by RPA to nonsegregated airspace (ANIWP :ROI-07), improve inflight safety performance (ANIWP :ROI-10) and improve safety performance at and in the vicinity of aerodromes (ANIWP :ROI-04) Monitor Member States through USOAP Continuous Monitoring Approach (CMA) and assist States in developing tailored plans of action to address risk. Build State capacity in performing oversight responsibilities through the conduct of seminars and workshops Support the rapid and coordinated response to crises, contingencies and other situations requiring urgent assistance to States and support the effort to achieve the NCLB goals within the Safety objective Assistance activities through interaction with States; and Reports on current policy initiatives in the region Assistance activities through interaction with States Early identification of lags against agreed safety priorities through RASG Assistance to States in establishing a regulatory framework and procedures through workshops/seminars on RPAS; and organize Runway Safety Go Teams to assist in the implementation of RSTs and runway safety programme Assessment of Corrective Action Plans in coordination with ANB/MO when prerequisites are met.(more than 75% progress); Participation in ICVM missions; and Workshops/Seminars Timely response to crises; Coordinated Assistance to States; Contingency plans; and Assessment of Corrective Action Plans to address SSCs Indicator/Target 7 States assisted; 1 workshop; Increased number of States complying with PEL SARPS: 5 States by 2019 (above 60%); and 100% SMS by 5 of SAM States by 2019 SRVSOP Report Continuous monitoring of safety performance/ Annual safety reports; and 50% of actions (Reponses to RASG Decisions) to be implemented per year 2 regional workshops conducted; of State experts successfully completed workshops; and 1 Runway Safety Go Teams 80% State CAPs assessed; and Improved regional EI average by 10% 99% of the crises initially responded to within 24 hours. Successful resolution of the issue (90% of the time) 39

50 STRATEGIC OBJECTIVE: SAFETY Western and Central African Key Outcome No. No. Project/Key Activity Deliverable 1, 2 SAF. WACAF.1 1, 2, 12 SAF. WACAF.2 1, 2 SAF. WACAF.3 1, 2, 12 SAF. WACAF.4 1, 2, 12 SAF. WACAF.5 Assist States in the implementation of policies and provisions to address critical safety issues concerning Accident investigation, Safety Management Rescue, and other areas Develop, and measure progress against regional Safety priorities through Regional Plans and Regional Aviation Safety Groups (RASGs) Assist States in the implementation of policies and provisions to improve inflight safety performance (ANIWP :ROI-10) and improve safety performance at and in the vicinity of aerodromes (ANIWP :ROI-04) Monitor Member States through USOAP Continuous Monitoring Approach (CMA) and assist States in developing tailored plans of action to address risk; and Build State capacity in performing oversight responsibilities through the conduct of seminars and workshops Support the rapid and coordinated response to crises, contingencies and other situations requiring urgent assistance to States and support the effort to achieve the NCLB goals within the Safety objective Assistance activities through interaction with States; Reports on current policy initiatives in the region; Establishment of SAR Team of Experts; Assistance to States and workshops/seminars on implementation of SAR requirements through regional workshops in coordination with adjacent regions (WACAF, APAC and MID); and Increased level of implementation of safety policy and SMS Early identification of lags against agreed safety priorities through RASG Assistance to States through workshops/seminars based on available ICAO SARPs and Guidance Material; and organize Runway Safety Go Teams to assist in the implementation of RSTs and runway safety programme Assessment of Corrective Action Plans in coordination with ANB/MO when prerequisites are met.(more than 75% progress); Participation in ICVM missions; and Workshops/Seminars Timely response to crises; Coordinated Assistance to States; Contingency plans; and Assessment of Corrective Action Plans to address SSCs Indicator/Target Increased number of States complying with AIG SARPS; 1 SAR Team of Experts established for the AFI Region; 1 workshops conducted; 80% States with an effective and operational SAR organization by end of 2017; and 50% of Service Providers implement SMS and 50% of States implement SSP by end of 2019 Continuous monitoring of safety performance/ Annual safety reports; and 80% of actions (Reponses to RASG Decisions) to be implemented per year 2 workshops conducted; 30 of State experts successfully completed workshops; and 8 RSTs established 90% State CAPs assessed foe all WACAF States having more than 75% progress; and Improved regional EI average 99% of the crises initially responded to within 24 hours; and Successful resolution of the issue (90% of the time) 40

51 STRATEGIC OBJECTIVE: AIR NAVIGATION CAPACITY AND EFFICIENCY AIR NAVIGATION CAPACITY AND EFFICIENCY Description Rationale Increase the capacity and improve the efficiency of the global civil aviation Air navigation has witnessed some important improvements in recent decades, with a number of States and operators having pioneered the adoption of advanced avionics and satellite-based procedures. And yet despite these important, localized advances, a considerable remainder of the global air navigation system is still limited by conceptual approaches that arose in the 20th century. These legacy air navigation capabilities limit air traffic capacity and growth and are responsible for unnecessary gas emissions being deposited in our atmosphere. A fully-harmonized global air navigation system built on modern performance-based procedures and technologies is a solution to these concerns. This goal has been on the minds of Communications, Navigation and Surveillance/Air Traffic Management (CNS/ATM) planners for many years. Since technology never stands still, the realization of a strategic path to such a globally harmonized system has proven elusive. The solution to this impasse lies at the heart of ICAO s core mission and values. Only by bringing together the States and stakeholders from every corner of the aviation community can a viable solution to twenty-first century air navigation be determined. The work under this Strategic Objective provides flexibility to Member States, through the consultative and cooperative approach to regional planning, to select and implement the solutions that brings the most benefit to them while ensuring that their part of the global system fits in seamlessly with all others. This will permit all States and stakeholders to realize the global- harmonization, increased capacity, and environmental efficiency that modern air traffic growth now demands in every region around the world. Key Priorities: Expected Result 3: Key Outcome 3: Indicator: Harmonized Global Air Navigation Modernization; Quality Data, Analysis and Forecasting; No Country Left Behind Increased Air Navigation Capacity: Enhanced capabilities of States to access, develop, implement and use technologies in Air Navigation Systems to meet current and future demand Timely access to SARPs and guidance material to implement and use technologies is improved Number of simultaneous publication of SARPs and guidance material Expected Result 4: Key Outcome 4: Indicator: Optimized performance of the Global Aviation System: Enhanced the capabilities of States to maximize the benefits of the use of existing technical capabilities and technologies, and increase the return on investment of new ones Use of business cases and coordination at local and regional level is improved Number of reported deployment plans 41

52 STRATEGIC OBJECTIVE: AIR NAVIGATION CAPACITY AND EFFICIENCY Expected Result 11: Key Outcome 11: Indicator: Improved Data, Analysis and Forecasting: Enhanced capabilities of States to use, analysis and exchange aviation data for decision-making and operational improvement and to measure and, to the extent possible, predict the various aspects of civil aviation development Quality, quantity and analysis of aviation data, including forecasts and tools shared with States, are improved Number of analysis using ICAO data, analysis and forecasts Expected Result 12: Key Outcome 12: Indicator: Strengthened Capacity Development: Enhanced capabilities of States in particular developing and least developed countries to implement global standards and policies and improve air connectivity ICAO's No Country Left Behind initiatives are implemented Effective implementation rates of safety and security oversight systems; number of outstanding SSCs and/or SSeCs 42

53 STRATEGIC OBJECTIVE: AIR NAVIGATION CAPACITY AND EFFICIENCY AIR NAVIGATION CAPACITY AND EFFICIENCY REGULAR BUDGET - RESOURCE REQUIREMENTS Posts Man Years Programme Year Total Cost IP GS in '000 CAD Consultancy/ Outsourcing Non-Posts Total Cost in '000 CAD Travel Meetings Other GAT Indirect Costs Total Cost in '000 CAD 1 - Strategy and Policy , ,096 2, , ,135 2, , ,206 2,590 Total: 7, Airspace Optimization , ,959 4, , ,190 4, , ,150 4,619 Total: 13, Aerodrome Optimization and Infrastructure , ,262 2, , ,469 3, , ,388 2,982 Total: 8, Implementation Planning and Support ,014 2, ,054 2, ,127 2,421 Total: 6, Regional Offices , ,038 15, , ,074 15, , ,472 16,051 Total: 46,761 TOTAL all programmes , ,369 26, , ,922 28, , ,342 28,663 Total triennium: 37,401 1,207 2,375 1,200 2,881 38,633 83,696 Total Direct Costs: 45,063 KEY PRIORITIES EXPECTED RESULTS Harmonized Global Air Navigation Modernization 3 - Increased Air Navigation Capacity 5,035 5,272 5,284 15,591 Quality Data, Analysis and Forecasting No Country Left Behind 4- Optimized the performance of the Global Aviation System ,840 5,073 5,076 14, Improved Data, Analysis and Forecasting 1,451 1,463 1,523 4, Strengthened Capacity Development 3,301 3,307 3,437 10,045 Total: 14,627 15,116 15,320 45, TOTAL

54 STRATEGIC OBJECTIVE: AIR NAVIGATION CAPACITY AND EFFICIENCY Programme 1: Strategy and Policy Key Outcome No. 3, 4, 11, 12 3, 4, 11, 12 3, 4, 11, 12 No. Project/Key Activity Deliverable CAP.1.1 CAP.1.2 CAP.1.3 Support the harmonization and modernization of the Global ATM system by developing, maintaining and overseeing the implementation of the Global Air Navigation Plan (GANP) Support of Assembly, Council, Air Navigation Commission, Council Committees and expert groups Collaborate with stakeholders to align resources against common air navigation challenges 3 CAP.1.4 Maintain and defend aeronautical frequency spectrum allocations at ITU WRC CAP.1.5 Support the rapid and coordinated response to crises, contingencies and other situations requiring urgent assistance to States and manage and coordinate the effort to achieve the NCLB goals within the Air Navigation Capacity and Efficiency objective 3 CAP.l.6 Monitor research and development activities for eventual inclusion into future blocks 12 CAP.l.7 Contribute towards the implementation of the Resource Mobilization Strategy GANP Revision; and Online Regional and Global Air Navigation Reports Documentation required for governing bodies; Secretary role for governing bodies; and Amendments to the Annexes and PANS Indicator/Target GANP endorsed by the Assembly (2019);and Annual report/ Quarterly update of web site Agreements 5 by 2019 Common Aviation position on frequency protection; Regional plans and agreements in support of the ICAO position; Workshops Contingency/Emergency/ Preparedness Plans Assessments of new solutions for potential inclusion in GANPs Identification of potential donors and development of specific projects for voluntary funds and/or grants for the provision of technical assistance for the States 20 WPs per year; and 90% of actions (Reponses to Council Decisions) to be implemented per year Protection of the Aviation Spectrum; and 2 workshops per year 99% of the time initial response within 48 hours Published in the annual GANP report Review of project plan in lq each year 44

55 STRATEGIC OBJECTIVE: AIR NAVIGATION CAPACITY AND EFFICIENCY Programme 2: Airspace Optimization Key Outcome No. 3, 4 CAP.2.1 Optimize airspace and airport usage through demand/capacity balancing (ANIWP:ROI-01) No. Project/Key Activity Deliverable 3, 4 CAP.2.2 Improve efficiency of en-route operations through the availability of user- preferred routing (ANIWP: ROI-06) 3, 4 CAP.2.3 Optimise aerodrome departure/arrival rates in all meteorological conditions (ANIWP: ROI-08) 3, 4 CAP.2.4 Improve efficiency of TMA operations (ANIWP: ROI-09) 3, 4 CAP.2.5 Information Management (ANIWP: ENB-IM) Global Standards and Policies/ Guidance Material/Workshops Global Standards and Policies/ Guidance Material/Workshops Global Standards and Policies/ Guidance Material/Workshops Global Standards and Policies/ Guidance Material/Workshops Global Standards and Policies/ Guidance Material/Workshops Indicator/Target 1 Amendments/3 Manuals/1 Train the trainer workshops 20 Amendments/2 Manuals/1 Train the trainer workshops 35 Amendments/2 Manuals/1 Train the trainer workshops 10 Amendments/2 Manuals/1 Train the trainer workshops 1 Amendment/4 Manuals/7 Train the trainer workshops 45

56 STRATEGIC OBJECTIVE: AIR NAVIGATION CAPACITY AND EFFICIENCY Programme 3: Aerodrome Optimization and Infrastructure Key Outcome No. 3, 4 CAP.3.1 Improve efficiency of surface operations, in particular at congested aerodromes (ANIWP: ROI-03) 3, 4 CAP.3.2 Improve throughput at aerodromes through integration of landside/airside (ANIWP: ROI-05) 3, 4 CAP.3.3 Communication, Navigation and Surveillance (CNS) (ANIWP: ENB- CNS) No. Project/Key Activity Deliverable Global Standards and Policies/ Guidance Material/Workshops Global Standards and Policies/ Guidance Material/Workshops Global Standards and Policies/ Guidance Material/Workshops 3, 4 CAP.3.4 Meteorology (ANIWP: ENB-MET) Global Standards and Policies/ Guidance Material/Workshops Indicator/Target 10 Amendments/2 Manuals/1 Train the trainer workshops 1 Amendment/1 Manual 18 Amendments/2 Manuals/1 Train the trainer workshops 18 Amendments/1 Manuals/1 Train the trainer workshops 46

57 STRATEGIC OBJECTIVE: AIR NAVIGATION CAPACITY AND EFFICIENCY Programme 4: Implementation Planning and Support Key Outcome No. No. Project/Key Activity Deliverable 12 CAP.4.1 Collaborate with stakeholders to align resources against common air navigation challenges Indicator/Target Agreements with Stakeholders 5 by , 11 CAP.4.2 Support the selection and implementation of ASBUs Regional dashboard; Online Air Navigation Plans (eanp); Interactive ASBUs performance assessment tools; and Development Packages to assist with implementation of Block 0 and 1 80% of States linked in to tools by 2019; and 10 by , 4, 11, 12 CAP.4.3 Support to, and report from, Planning and Implementation Regional Groups (PIRGs) PIRG Reports; and Assessment on progress and agreement on nextsteps 1 report per region per year 3, 11, 12 CAP.4.4 Support harmonization of global services and performance through inter-regional coordination 11, 12 CAP.4.5 Help States to assess impacts of operational improvements in the reduction of fuel burn 11, 12 CAP.4.6 Help States on selection of International Codes and Route Designators through an automated system Regional Plans; and Amendments to Global and Regional Plans to improve harmonization Impact assessments provided to States Tools/Website Regional plans kept up-to-date annually 10 by % of States linked in to tools by CAP.4.7 Support recurrent training of the Regional Offices professional staff Regional Staff Trained 20 by

58 STRATEGIC OBJECTIVE: AIR NAVIGATION CAPACITY AND EFFICIENCY Programme 5: Regional Offices Asia and Pacific Key Outcome No. Project/Key Activity Deliverable Indicator/Target No. 4 APAC NOTE: Many projects/key activities for Air Navigation Capacity and Efficiency are critically dependent on a fully functioning of Regional Sub-Office which can only be achieved with continued availability of extra-budgetary resources provided by States 4 CAP. APAC.1 4 CAP. APAC.2 4 CAP. APAC.3 4, 11, 12 CAP. APAC.4 4 CAP. APAC.5 4 CAP. APAC.6 4 CAP. APAC.7 (CNS) Assist States in the implementation of policies and provisions on Communication, Navigation and Surveillance (CNS) (ANIWP : ENB-CNS) (IM) Assist States in the implementation of policies and provisions on Information Management (ANIWP : ENB-IM) (MET) Assist States in the implementation of policies and provisions on Meteorology (ANIWP : ENB-MET) Develop and measure progress against regional AN priorities through Regional Air Navigation Plans and Regional Planning and Implementation Groups (PIRGs) Assist States in the implementation of policies and provisions to improve efficiency of en-route operations through the availability of user-preferred routing (ANIWP : ROI-06) Assist States in the implementation of policies and provisions to improve efficiency of TMA and en-route operations (ANIWP : ROI-09) Assist States in the implementation of policies and provisions to optimize airspace and airport usage (ANIWP : ROI- 01) Regional agreements, decisions and recommendations of regional meetings (AFSG and FMG) Regional agreements, decisions and recommendations of regional meetings (AIM TF) Regional agreements, decisions and recommendations of regional meetings (METG) PIRGs and their working structure meetings Assistance to States and workshops/seminars on development of PBN routes Assistance to States and workshops/seminars on implementation of ATFM (ASBU B0- NOPS module) Assistance to States and workshops/seminars on implementation of flexible use of airspace (FUA) 4 per year; and 20-30% Implementation of selected B0 modules by per year; and 20-30% Implementation of selected B0 modules by per year; and 40-50% Implementation of selected B0 modules by 2019 Implementation of the regional air navigation plans in line with the agreed timeline 1 workshop/ seminar; and 40-50% of user preferred routes implemented 1-2 workshop/ seminar per year 2-3 workshops/ seminars per year; and 30-40% of States that have implemented FUA 48

59 STRATEGIC OBJECTIVE: AIR NAVIGATION CAPACITY AND EFFICIENCY Eastern and Southern Africa Key Outcome No. No. Project/Key Activity Deliverable 4 CAP. ESAF.1 4 CAP. ESAF.2 4 CAP. ESAF.3 (CNS) Assist States in the implementation of policies and provisions on Communication, Navigation and Surveillance (CNS) (ANIWP : ENB-CNS) (IM) Assist States in the implementation of policies and provisions on Information Management (ANIWP : ENB- IM) (MET) Assist States in the implementation of policies and provisions on Meteorology (ANIWP : ENB-MET) Assistance to States and workshops/seminars on: Implementation of AMHS; Implementation of ASBU B0- FICE module elements; and Upgrade of ANS infrastructure (NAFISAT and SADC VSAT networks) Assistance to States and workshops/seminars on: Implementation of AIS Quality Management System (QMS); Transition from AIS to AIM; and Implementation of ASBU B0 DATM module elements Assistance to States and workshops/seminars on: Implementation of MET Quality Management System (QMS); and Implementation of SADIS FTP. Indicator/Target 1 to 2 of workshops/ seminars; 25-30% of States with AMHS implemented and interconnected with other States AMHS by 2019; 25-30% of FIRs within which all applicable ACCs have implemented at least one interface to use AIDC with neighbouring ACCs by 2019; and Upgrade of NAFISAT and SADC VSAT networks completed by workshops/seminars per year; % of States that have implemented QMS for AIS/AIM; 25-30% of States that have National AIM Implementation. Plan/Roadmap by 2019; and 25-30% of States that have implemented an IAID driven AIP Production (eaip) by workshops/seminars per year; % of States that have implemented QMS for MET by 2019; and 25-30% of States that have implemented SADIS 2G satellite broadcast or Secure SADIS FTP service by , 11, 12 CAP. ESAF.4 Develop and measure progress against regional AN priorities through Regional Air Navigation Plans and Regional Planning and Implementation Groups (PIRGs) Assistance to States with: Implementation of AN priorities through APIRG projects; and Implementation of ANS targets under the AFI Plan % of ANS targets implemented by

60 STRATEGIC OBJECTIVE: AIR NAVIGATION CAPACITY AND EFFICIENCY Key Outcome No. 4 CAP. ESAF.5 4 CAP. ESAF.6 4 CAP. ESAF.7 No. Project/Key Activity Deliverable Assist States in the implementation of policies and provisions to improve efficiency of en-route operations through the availability of user-preferred routing (ANIWP: ROI-06) Assist States in the implementation of policies and provisions to improve efficiency of TMA operations (ANIWP:ROI-09) Assist States in the implementation of policies and provisions to optimize airspace and airport usage (ANIWP: ROI-01) Assistance to States and workshops/seminars on: Development of PBN routes; and Implementation of ASBU B0-FRTO module elements. Assistance to States and workshops/seminars on implementation of ASBU B0- CDO and B0-CCO modules. Assistance to States and workshops/seminars on implementation of flexible use of airspace (FUA); and Assistance to States and workshops/seminars on implementation of ASBU B0- ACDM elements European and North Atlantic Key Outcome No. No. Project/Key Activity Deliverable 4 CAP. Promote ICAO ITU WRC Workshops/Meetings EURNAT.1 position 4 CAP. EURNAT.2 4 CAP. EURNAT.3 Assist States in the development of regional and national Contingency plans Assist States in the implementation of policies and provisions to optimise aerodrome departure/arrival rates in all meteorological conditions (ANIWP : ROI-08) Regional Contingency plans; and National Contingency plans Decisions and recommendations of AWOG and PBN TF Indicator/Target 1 workshops/seminars; 30-40% of user preferred routes implemented by 2019; and % of required Routes that are not implemented due military segregated areas by workshop/ seminar; 25-30% of International Aerodromes/TMA with PBN STARs/SIDs implemented by 2019; and % of International Aerodromes/TMA with CDO/CCO implemented by workshops/seminars; 20-30% of States that have implemented FUA by 2019; and % of international aerodromes having implemented improved airport operations through airport-cdm by 2019 Indicator/Target 2 workshops/meetings per year; and ICAO WRC position is included in the national WRC preparations EUR and NAT contingency plans (e.g VACP); and 90% States with national contingency plans 1 meetings per year; and 50% RNP APCH at all instrument runway ends by

61 STRATEGIC OBJECTIVE: AIR NAVIGATION CAPACITY AND EFFICIENCY Key Outcome No. 4 CAP. EURNAT.4 4 CAP. EURNAT.5 4 CAP. EURNAT.6 4 CAP. EURNAT.7 4 CAP. EURNAT.8 4, 11, 12 CAP. EURNAT.9 4 CAP. EURNAT.10 4 CAP. EURNAT.11 No. Project/Key Activity Deliverable Assist States in the implementation of policies and provisions to improved efficiency of TMA operations (ANIWP : ROI-09) Assist States in the implementation of policies and provisions to improved efficiency of surface operations, in particular at congested aerodromes (ANIWP : ROI-03) (CNS) Assist States in the implementation of policies and provisions on Communication, Navigation and Surveillance (CNS) (ANIWP : ENB-CNS) (IM) Assist States in the implementation of policies and provisions on Information Management (ANIWP : ENB-IM) (MET) Assist States in the implementation of policies and provisions on Meteorology (ANIWP : ENB- MET) Develop and measure progress against regional AN priorities through Regional Air Navigation Plans and Regional Planning and Implementation Groups (PIRGs) Improve efficiency of en-route operations through the availability of userpreferred routing (ANIWP : ROI-06) Optimize airspace and airport usage (ANIWP :ROI-01) Decisions and recommendations of ATMGE, PBN TF Decisions and recommendations of AWOG, ATMGE Regional agreements, decisions and recommendations of regional meetings (AFSG and FMG) Regional agreements, decisions and recommendations of regional meetings (AIM TF); AIM assistance missions to States; and Regional and/or Interregional Seminar(s)/Workshop(s) on IM and SWIM Regional agreements, decisions and recommendations of regional meetings (METG) PIRGs (EANPG and NAT SPG) and their working structure meetings Airspace and ATS route development managed through EUR RDGE and NAT IMG contributory bodies; extend the use of free flight operations Airspace and ATS route development managed through EUR RDGE and NAT contributory bodies; extend the use of free flight operations Indicator/Target 2 meetings per year; and 30% PBN STAR/SID at all international TMAs by meeting per year 2 meetings per year; and 40% Implementation of selected B0 modules by meetings per year; 50% Implementation of selected B0 modules by 2019; 1 mission per year; and 1 interregional or regional workshop by meetings per year; and 80% Implementation of selected B0 modules by % Implementation of the regional air navigation plans in line with the agreed timeline 50% Implementation of the regional air navigation plans in line with the agreed timeline 50% Implementation of the regional air navigation plans in line with the agreed timeline 51

62 STRATEGIC OBJECTIVE: AIR NAVIGATION CAPACITY AND EFFICIENCY Middle East Key Outcome No. 4 CAP. MID.1 4 CAP. MID.2 4 CAP. MID.3 4, 11, 12 CAP. MID.4 No. Project/Key Activity Deliverable (CNS) Assist States in the implementation of policies and provisions on Communication, Navigation and Surveillance (CNS) (ANIWP: ENB-CNS) (IM) Assist States in the implementation of policies and provisions on Information Management (ANIWP: ENB-IM) (MET) Assist States in the implementation of policies and provisions on Meteorology (ANIWP: ENB- MET) Develop and measure progress against regional AN priorities through Regional Air Navigation Plans and Regional Planning and Implementation Groups (PIRGs) 52 Assistance provided to States related to the implementation of CNS policies and provisions and regional requirements and priorities, in accordance with the MID Air Navigation Strategy, through workshops/seminars, assistance missions and meetings Assistance provided to States related to the implementation of Information Management and SWIM policies and provisions; and regional requirements and priorities, in accordance with the MID Air Navigation Strategy, through workshops/seminars, assistance missions and meetings. Assistance provided to States related to the implementation of MET policies and provisions; and regional requirements and priorities, in accordance with the MID Air Navigation Strategy, through workshops/seminars, assistance missions and meetings. PIRGs and their working structure meetings; Identification/update of regional air navigation priorities; and MID eanp kept up-to-date. Indicator/Target 80% Achievement of the performance targets related to CNS included in the MID Air Navigation Strategy; Workshops/seminars conducted, as approved by MIDANPIRG; 1 meeting per year addressing CNS; and 1 assistance mission per year conducted by RO/CNS. 80% Achievement of the performance targets related to Information Management included in the MID Air Navigation Strategy; Workshops/seminars conducted, as approved by MIDANPIRG; 1 meeting per year addressing Information Management and SWIM; and 1 assistance mission per year conducted by RO/AIM/ATM. 70% Achievement of the performance targets related to MET included in the MID Air Navigation Strategy; Workshops/seminars conducted, as approved by MIDANPIRG; 1 meeting per year addressing MET; and Assistance missions conducted, as required (in coordination with the EUR/NAT Office). Implementation of the regional air navigation strategy and plans in line with the agreed timelines (65% achievement of milestones); Meetings convened in accordance with the agreed

63 STRATEGIC OBJECTIVE: AIR NAVIGATION CAPACITY AND EFFICIENCY Key Outcome No. 4 CAP. MID.5 4 CAP. MID.6 4 CAP. MID.7 No. Project/Key Activity Deliverable Assist States in the implementation of policies and provisions to improve efficiency of en-route operations through the availability of user- preferred routing (ANIWP: ROI-06) Assist States in the implementation of policies and provisions to optimise aerodrome departure/arrival rates in all meteorological conditions (ANIWP: ROI-08) Assist States in the implementation of policies and provisions to optimize airspace and airport usage (ANIWP: ROI-01) Airspace management and ATS route network optimization addressed by MIDANPIRG contributory bodies Assistance provided to States related to PBN implementation, through the establishment of the MID FPP and conduct of meetings, workshops/seminars and assistance missions. Assistance to States through the conduct of the MID Civil/Military Support Team visits and workshops/seminars to foster implementation of flexible use of airspace (FUA) North American, Central American and Caribbean Key Outcome No. No. Project/Key Activity Deliverable 4 CAP. NACC.1 (CNS) Assist States in the implementation of policies and provisions on Communication, Navigation and Surveillance (CNS) (ANIWP : ENB-CNS) Regional agreements, decisions and recommendations of regional meetings (AFSG and FMG) Indicator/Target schedule; and Proposals for Amendment of the MID eanp processed in a timely manner 2 meetings addressing airspace management and ATS route network optimization, by % achievement of the performance targets related to PBN included in the MID Air Navigation Strategy; Workshops/seminars conducted, as approved by MIDANPIRG; 1 assistance mission conducted per year; and MID FPP established and its work programme implemented as per agreed timelines. workshops/ seminars conducted as required by MIDANPIRG; Civil/Military Support Team visits conducted, as required by States; and 30% of States have implemented FUA by 2018 Indicator/Target 1 Meeting per year; By 2019: 52.5% implementation of B0- TBO module; 29.4% implementation of B0- SURF module; 38.5% implementation of B0- ASUR module; 8% implementation of B0- ACAS module; 51.2% implementation of B0- FICE module 53

64 STRATEGIC OBJECTIVE: AIR NAVIGATION CAPACITY AND EFFICIENCY Key Outcome No. 4 CAP. NACC.2 4 CAP. NACC.3 4, 11, 12 CAP. NACC.4 No. Project/Key Activity Deliverable (IM) Assist States in the implementation of policies and provisions on Information Management (ANIWP : ENB-IM) (MET) Assist States in the implementation of policies and provisions on Meteorology (ANIWP : ENB- MET) Develop and measure progress against regional AN priorities through Regional Air Navigation Plans and Regional Planning and Implementation Groups (PIRGs) Regional agreements, decisions and recommendations of regional meetings (AIM TF) Regional agreements, decisions and recommendations of regional meetings (METG) PIRGs and their working structure meetings Indicator/Target 1 Meeting per year; no impact to the meeting but impact to implementation 27.6% of B0 DATM module by Meeting per year; no impact to the meeting but impact to implementation 71% of B0 AMET module by 2019 Implementation of the regional air navigation plans in line with the agreed timeline 4 CAP. NACC.5 Assist States in the implementation of policies and provisions to optimize airspace and airport usage (ANIWP : ROI-01) Assistance to States and workshops/seminars on implementation of flexible use of airspace (FUA) Number of workshops/ seminars; 1 workshop/seminar; and 50% of States that have implemented FUA South American Key Outcome No. No. Project/Key Activity Deliverable 4 CAP. SAM.1 (CNS) Assist States in the implementation of policies and provisions on Communication, Navigation and Surveillance (CNS) (ANIWP: ENB-CNS) Regional agreements, decisions and recommendations of regional meetings (AFSG and FMG) Indicator/Target 1 per year; 25% Implementation of selected B0 modules by CAP. SAM.2 (IM) Assist States in the implementation of policies and provisions on Information Management (ANIWP: ENB-IM) Regional agreements, decisions and recommendations of regional meetings (AIM TF) 1 per year; 25% Implementation of selected B0 modules by CAP. SAM.3 (MET) Assist States in the implementation of policies and provisions on Meteorology (ANIWP: ENB- MET) Regional agreements, decisions and recommendations of regional meetings (METG) 1 per year; 25% Implementation of selected B0 modules by

65 STRATEGIC OBJECTIVE: AIR NAVIGATION CAPACITY AND EFFICIENCY Key Outcome No. 4 CAP. SAM.4 4 CAP. SAM.5 4 CAP. SAM 6 4 CAP. SAM.7 4, 11, 12 CAP. SAM.8 No. Project/Key Activity Deliverable Assist States in the implementation of policies and provisions to improve efficiency of en-route operations through the availability of user-preferred routing (ANIWP: ROI-06) Assist States in the implementation of policies and provisions to improve efficiency of TMA operations (ANIWP: ROI-09) Improve efficiency of surface operations, in particular at congested aerodromes (ANIWP : ROI-03) Assist States in the implementation of policies and provisions to optimize airspace and airport usage (ANIWP: ROI-01) Develop and measure progress against regional AN priorities through Regional Air Navigation Plans and Regional Planning and Implementation Groups (PIRGs) Airspace and ATS route development managed through contributory bodies; extend the use of free flight operations Assistance to States and workshops/seminars on implementation of ASBU B0- CDO and B0-CCO modules Assistance to States through workshops/seminars based on available ICAO SARPs and Guidance Material Assistance to States and workshops/seminars on implementation of flexible use of airspace (FUA); and Assistance to States and workshops/seminars on implementation of ASBU B0- ACDM elements PIRGs and their working structure meetings Indicator/Target 60% Implementation of the regional air navigation plans in line with the agreed timeline 1 workshop/seminar 1 workshop/seminar 1 workshop/seminar; 25% of international aerodromes having implemented improved airport operations through airport-cdm Implementation of the regional air navigation plans in line with the agreed timeline Western and Central African Key Outcome No. No. Project/Key Activity Deliverable 4 CAP. WACAF.1 (CNS) Assist States in the implementation of policies and provisions on Communication, Navigation and Surveillance (CNS) (ANIWP : ENB-CNS) Regional agreements, decisions and recommendations of regional meetings (AFSG and FMG) Indicator/Target 2 per year; and 75% Implementation of selected B0 modules by CAP. WACAF.2 (IM) Assist States in the implementation of policies and provisions on Information Management (ANIWP : ENB-IM) Regional agreements, decisions and recommendations of regional meetings APIRG) and the endorsed AIM Implementation Projects 1 AIM implementation support workshop/seminar per year; and 75% Implementation of selected B0- DATM modules by

66 STRATEGIC OBJECTIVE: AIR NAVIGATION CAPACITY AND EFFICIENCY Key Outcome No. 4 CAP. WACAF.3 4, 11, 12 CAP. WACAF.4 No. Project/Key Activity Deliverable (MET) Assist States in the implementation of policies and provisions on Meteorology (ANIWP : ENB- MET) Develop and measure progress against regional AN priorities through Regional Air Navigation Plans and Regional Planning and Implementation Groups (PIRGs) Regional agreements, decisions and recommendations as adopted by APIRG PIRGs and their working structure meetings; Assistance to States with Implementation of AN priorities through APIRG projects; and Implementation of ANS targets under the AFI Plan Indicator/Target 6 States per year; and 60% Implementation of B0-AMET elements s by 2019 Implementation of the regional air navigation plans in line with the agreed timeline; and 75% of the AFI ANS Targets met by CAP. WACAF.5 Assist States in the implementation of policies and provisions to improve efficiency of en-route operations through the availability of user-preferred routing (ANIWP : ROI-06) Airspace and ATS route development managed through contributory bodies; extend the use of free flight operations Implementation of the regional air navigation plans in line with the agreed timeline 4 CAP. WACAF.6 Assist States in the implementation of policies and provisions to improve efficiency of TMA operations (ANIWP : ROI-09) Assistance to States and workshops/seminars on implementation of ASBU B0- CDO and B0-CCO modules 1 workshop/seminar per year; and 70% of airports with CDO and CCO operations by end CAP. WACAF.7 Assist States in the implementation of policies and provisions to optimize aerodrome departure/arrival rates in all meteorological conditions (ANIWP : ROI-08) Decisions and recommendations of AWOG and PBN TF 7 airports; and 70% RNP APCH at all instrument runway ends by

67 STRATEGIC OBJECTIVE: SECURITY AND FACILITATION SECURITY AND FACILITATION Description Rationale Enhance global civil aviation security and facilitation Although the global civil aviation system is more secure than ever, vulnerabilities and threats to civil aviation security and border integrity persist, affecting a greater number of States across all regions. Such challenges must be addressed through constant and proactive preventive efforts, including systematic collaboration, coordination and communication among States and industry. It is of upmost importance to optimize the balance between security and facilitation requirements, thereby enabling air passenger and cargo traffic to grow in a secure and seamless way. The ultimate goal of this Strategic Objective is to enhance civil aviation security and facilitation worldwide, that is, to a) minimize the risk of unlawful interference with civil aviation and ensure appropriate responses when incidents occur, b) minimize border integrity risks and, c) maximize efficiency in border clearance operations to promote trade, tourism and economic development. The delivery of the results with respect to this Strategic Objective will contribute to reducing the level of global aviation security and border integrity risks, facilitating movement of people and movement of goods by air, and enhancing the efficiency and sustainability of the global civil aviation system. Key Priorities: Expected Result 5: Key Outcome 5: Indicator: Continuous Aviation Security and Facilitation Improvement; Quality Data, Analysis and Forecasting; No Country Left Behind Reduced Aviation Security Risk: Enhanced capabilities of States to reduce the level of risk posed by existing, new and emerging threats to civil aviation and boarder integrity by effective regulatory oversight frameworks and implementation of countermeasures and responses commensurate with the level of threat, as well as the harmonized global aviation security policy framework Uniform and consistent countermeasures and responses are implemented Level of effective implementation (as observed by USAP-CMA) Expected Result 6: Key Outcome 6: Indicator: Improved Efficiency in Border Clearance Operations: Enhanced capabilities of States to facilitate movement of people and goods by air with minimum operational delays, and high quality security and law enforcement The border crossing procedures and the mechanisms to establish and confirm the identity of travellers are enhanced Level of Annex 9 implementation (from Compliance Checklists completed by States) 57

68 STRATEGIC OBJECTIVE: SECURITY AND FACILITATION Expected Result 11: Key Outcome 11: Indicator: Expected Result 12: Key Outcome 12: Indicator: Improved Data, Analysis and Forecasting: Enhanced capabilities of States to use, analysis and exchange aviation data for decision-making and operational improvement and to measure and, to the extent possible, predict the various aspects of civil aviation development Quality, quantity and analysis of aviation data, including forecasts and tools shared with States, are improved Number of analysis using ICAO data, analysis and forecasts Strengthened Capacity Development: Enhanced capabilities of States in particular developing and least developed countries to implement global standards and policies and improve air connectivity ICAO's No Country Left Behind initiatives are implemented Effective implementation rates of safety and security oversight systems; number of outstanding SSCs and/or SSeCs NOTE: Many projects/key activities listed in each programme can be achieved with continued availability of extrabudgetary resources 58

69 STRATEGIC OBJECTIVE: SECURITY AND FACILITATION REGULAR BUDGET - RESOURCE REQUIREMENTS Posts Man Years Programme Year IP GS 1 - Strategy and Policy 2 - Aviation Security Policy 3 - Aviation Security Audit Non-Posts Total Cost in '000 CAD Consultancy/ Travel Meetings Other GAT Outsourcing Indirect Costs , , ,056 Total: 5, , , , , ,044 2,244 Total: 6, , ,457 3, , ,508 3, , ,579 3, Implementation Support and Development 5 - Facilitation 6 - TRIP/MRTD 7 - Regional Offices Total Cost in '000 CAD SECURITY AND FACILITATION Total: 9, , , ,033 2,219 Total: 6, Total: 2, Total: 1, , ,671 5, , ,678 5, , ,831 6,081 Total: 17,724 TOTAL all programmes , , ,418 16, , , ,590 16, , , ,989 17,161 Total triennium: 21, , ,997 49,820 Total Direct Costs: 26,824 Total Cost in '000 CAD KEY PRIORITIES EXPECTED RESULTS Continuous Aviation Security and Facilitation Improvements 5 - Reduced Aviation Security Risk 4,020 4,075 4,207 12,301 Quality Data, Analysis and Forecasting No Country Left Behind 6- Improved Efficiency in Border Clearance Operations ,627 1,637 1,694 4, Improved Data, Analysis and Forecasting Strengthened Capacity Development 2,867 2,902 2,999 8,768 Total: 8,773 8,878 9,173 26, TOTAL

70 STRATEGIC OBJECTIVE: SECURITY AND FACILITATION Programme 1: Strategy and Policy Key Outcome No. 5, 6, 11, 12 No. Project/Key Activity Deliverable SEC.1.1 Develop Global Aviation Security Plan (GASeP) and assess aviation security, facilitation and TRIP/MRTD implementation 5, 6, 12 SEC.1.2 Provide support for governing bodies of ICAO (Assembly, Council, UIC and ATC) 5, 6 SEC.1.3 Enhance recognition of ICAO leadership, international cooperation (including UN system) and coordination of regional activities 12 SEC.1.4 Contribute towards the implementation of Resource Mobilization Strategy Approved GASeP document; and Implementation and risk analysis documents Documentation required for governing bodies; Secretary role for governing bodies Improved service delivery to States through efficient coordination and cooperation; Increased outreach to States on API ad PNR Programmes through collaboration with WCO, IATA and UN System Identification of potential donors and development of specific projects for voluntary funds and/or grants for the provision of technical assistance for the States Indicator/Target GASeP approved by 4Q 2018; and 90% review of all risk matrices annually 19 papers and briefings per year; and 90% of actions (Response to Council Decision) to be implemented each year 90% of inputs and contribution provided on- time Review of project plan in 1Q each year 60

71 STRATEGIC OBJECTIVE: SECURITY AND FACILITATION Programme 2: Aviation Security Policy Key Outcome No. 5 SEC.2.1 Refine and harmonize the global aviation security framework (including development and update of guidance) No. Project/Key Activity Deliverable 5 SEC.2.2 Respond promptly when significant events occur - includes PoC network, contingency planning, response (usually short term) 5, 11 SEC.2.3 Establish information-sharing mechanisms 5, 11 SEC.2.4 Address and analyse threats, risks and vulnerabilities 5 SEC.2.5 Develop and implement ICAO's policy and provision to mitigate cyber security risks Actions required as a result of High-level Conference on Aviation Security and by 39th Assembly resolutions; Development of necessary SARPs for Annex 17 - Security; Provision of support to Aviation Security Panel working groups and coordination of relevant industry initiatives; and New and revised guidance material, including in response to new threats and risks Provision of leadership and support to States in response to significant events; Provision of short-term assistance in such cases Refined tools for handling aviation security information; Provision of appropriate information; Regular worldwide testing of Point of Contact (PoC) Network Annual update of Risk Context Statement (RCS) Policy framework and guidance material on cybersecurity (establishment of common cyber security standards for aviation systems) Indicator/Target 75% of follow up actions completed by 4Q 2019; Publication of updated Annex 17 SARPs as required 100% of appropriate and timely coordination in response to crisis Test PoC Network every months; Revised RCS published at least once annually Continuous release of relevant guidance; and Cybersecurity Management System by 4Q

72 STRATEGIC OBJECTIVE: SECURITY AND FACILITATION Programme 3: Aviation Security Audit Key Outcome No. 5, 12 SEC.3.1 Conduct Universal Security Audit Programme Continuous Monitoring Approach (USAP-CMA) activities No. Project/Key Activity Deliverable USAP-CMA activities tailored to each State s aviation security situation; Reports reflecting the findings of monitoring activities; and Additional monitoring activities through on-site and documentation-based audits Indicator/Target 80% of planned monitoring activities (23 each year and 3 additional activities to be supported by Regional Offices per year); 90% of reports produced within 60 days of monitoring activity completion; and Satisfactory feedback from 90% of States 5, 12 SEC.3.2 Analyze results of monitoring activities 5, 12 SEC.3.3 Conduct supporting activities in ICAO regions Produce periodic analyses of USAP-CMA results Conduct regional seminar/workshops, auditor training courses, and missions in support of other UN bodies Report to MARB annually 3 targeted assistance activities 62

73 STRATEGIC OBJECTIVE: SECURITY AND FACILITATION Programme 4: Implementation Support and Development Key Outcome No. 5, 12 SEC.4.1 Assist States through the updates of training material and Aviation Security Training Centre (ASTC) activities No. Project/Key Activity Deliverable 5, 12 SEC.4.2 Assist States in resolving significant security deficiencies identified through the USAP and to assist States in their efforts to implement SARPs of Annex 17 5, 12 SEC.4.3 Provide support to regional cooperation initiatives that seek to improve compliance with Annex 17 SARPs Training courses/workshops aimed towards increasing a Member State's capability to implement Annex 17 and 9 (to be conducted by 25% less internationally-recruited instructors); and Development of training material and the enhancement of Aviation Security Training Packages/workshops; Oversight of the ASTC network Comprehensive projects that assist States in addressing deficiencies (development, implementation and monitoring); Guidance and advice to States in support of their action to implement ICAO SARPs through special-purpose missions or through communications with State authorities; Structured State-specific aviation security improvement plans (SIP); and Coordination of assistance projects on a State and/or regional level involving multiple partners Support to region-specific programmes through coordination with donor States and regional entities; and Information shared with TCB regarding assistance provided to States under the respective Cooperative Aviation Security Programmes (CASP) Indicator/Target 75% of training material updated within 6 months after Annex/guidance material are revised 6 States assisted using the SIP process per year in coordination with Regional Offices; and Change in level of effective implementation by assisted States Progress in implementation of regional initiatives in coordination with Regional Offices 63

74 STRATEGIC OBJECTIVE: SECURITY AND FACILITATION Programme 5: Facilitation Key Outcome No. 6 SEC.5.1 Refine and harmonize global facilitation policy framework No. Project/Key Activity Deliverable Actions required as a result of High-level Conference on Aviation Security and by 39th Assembly resolutions; Development of necessary measures and policies for Annex 9 - Facilitation; Provision of support to Facilitation Panel working groups; and Publication of Manual on National Air Transport Facilitation Programmes Indicator/Target 75% of follow up actions completed by 4Q 2019; and Publication of updated Annex 9 SARPs as required 6, 12 SEC.5.2 Develop and update contents of training material related to facilitation 6, 12 SEC.5.3 Assist States in their efforts to implement Annex 9 SARPs and build required capacity, and monitor compliance with relevant Annex 9 SARPs Additional training materials States assisted with setting up National Air Transport Facilitation Programmes; Follow-up actions to the Annex 9 online compliance checklist; and Adjustments to protocol questions of USAP/USOAP practices to reflect any new or amended securityrelated or safety-related provisions of Annex 9 Additional training material available by 4Q 2018 Assistance aligned with requests and priority needs; and 75% of follow up actions completed by 4Q

75 STRATEGIC OBJECTIVE: SECURITY AND FACILITATION Programme 6: TRIP/MRTD Key Outcome No. 6 SEC.6.1 Implement Traveller Identification Programme (TRIP) Strategy No. Project/Key Activity Deliverable Progress reports on TRIP Strategy milestones; and Doc 9303 compliance scheme; e-passport roadmaps Indicator/Target 90% achievement of milestones 6 SEC.6.2 Develop and update travel document specifications, as well as guidance material on evidence of identification, Machine Readable Travel Documents (MRTDs), inspection systems and tools 6, 12 SEC.6.3 Develop and update contents of training material related to TRIP 6, 12 SEC.6.4 Assist States in their efforts to build required capacity in implementing Machine Readable Passports and e-passports projects Amendments to travel document specifications (Doc 9303) New TRIP training course materials Symposia and regional seminars; and Donor-funded assistance projects Publication of Doc 9303 revisions as required Training course materials available as required One symposium and two regional seminars per year: Assistance project(s) implementation according to plan 65

76 STRATEGIC OBJECTIVE: SECURITY AND FACILITATION Programme 7: Regional Offices All Regional Offices Key Outcome No. No. Project/Key Activity Deliverable 5, 6, 12 SEC.7.1 Supports States in the Region in Assistance activities through their endeavors to implement interaction with States; and Annex 17 and Annex 9 SARPs Reports on current aviation security and facilitation policy initiatives in the region 5, 12 SEC.7.2 Supports the effective implementation of the USAP-CMA Programme 5, 12 SEC.7.3 Coordinates and supports the ICAO ASTCs 5, 6, 12 SEC.7.4 Assists in developing aviation security and facilitation (including TRIP/MRTD) assistance projects in States in the Region 5, 6 SEC.7.5 Represent ICAO in meetings relating to aviation security and facilitation Pre-audit and liaison; Audit participation; and Post-audit follow-up actions Timely support of work of ASTCs as a focal point Tailored assistance missions to States (in accordance with ICAO priorities and resources) Priorities of States and ICAO reflected in external policies Indicator/Target Increased number of States complying with Annex 17 and Annex 9 SARPs; Increase in average level of effective implementation in the Region; and AFI SECFAL Plan activities completed on schedule USAP-CMA activities completed on schedule Successful completion of training courses as per schedule of ASTC training each year 3 assistance activities per year with RO participation Timely expression of ICAO s priority and concern at appropriate forums as per schedule of other international organizations 66

77 STRATEGIC OBJECTIVE: ECONOMIC DEVELOPMENT OF AIR TRANSPORT ECONOMIC DEVELOPMENT OF AIR TRANSPORT Description Rationale Foster the development of a sound and economically-viable civil aviation system A sound and economically-viable civil aviation system provides the freedom to travel affordably, a fair and equal opportunity for States and air transport users to benefit financially, a business environment where firms can operate profitably and a basis for sustainable economic development globally. To maximize aviation s contribution to economies, uniting efforts among States and the international communities is required beyond the civil aviation sector. Removing impediments to economic sustainability of air transport and overcoming the low- priority given to aviation in financing are the ultimate goals of this Strategic Objective. States can use aviation as an effective development tool by placing it in the centre of the national/regional development framework and international financing for development flows, resulting in a) improving air connectivity; b) creating more competitive business opportunities in the marketplace; c) increasing consumer's benefits and choices; and at the same time d) reducing financial burden and costs in performing their regulatory oversight functions. The delivery of the results with respect to this Strategic Objective will contribute to the growth of civil aviation activities and the efficiency of the air transport, and hence to the global economy, and the expansion of trade and tourism. Key Priorities: Expected Result 7: Key Outcome 7: Indicator: Enhanced Role of Aviation for Economic Development; Quality Data, Analysis and Forecasting; No Country Left Behind Lower Impediments to Air Transport Operations: Enhanced capabilities of States to improve air connectivity, create more competitive business opportunities in the marketplace, increase consumer's benefits and choices, and reduce financial burden and costs in performing regulatory oversight functions The global air transport regulatory framework is harmonized and converged with other economic sectors A utilization rate of connectivity opportunities by air carriers, comparing the number of available markets created by air transport liberalization with the number of those markets having actual air services Expected Result 8: Key Outcome 8: Indicator: Increased Use of Aviation as a Development Tool: Enhanced capabilities of States to use aviation as an effective means to achieve economic development, in particular, increase accessibility to funding for aviation infrastructure development and investment in air connectivity Access to financial resources and investments for aviation development activities is improved Number of States that include aviation in their national development plan 67

78 STRATEGIC OBJECTIVE: ECONOMIC DEVELOPMENT OF AIR TRANSPORT Expected Result 11: Key Outcome 11: Indicator: Improved Data, Analysis and Forecasting: Enhanced capabilities of States to use, analysis and exchange aviation data for decision-making and operational improvement and to measure and, to the extent possible, predict the various aspects of civil aviation development Quality, quantity and analysis of aviation data, including forecasts and tools shared with States, are improved Number of analysis using ICAO data, analysis and forecasts Expected Result 12: Key Outcome 12: Indicator: Strengthened Capacity Development: Enhanced capabilities of States in particular developing and least developed countries to implement global standards and policies and improve air connectivity ICAO's No Country Left Behind initiatives are implemented Effective implementation rates of safety and security oversight systems; number of outstanding SSCs and/or SSeCs NOTE: Many projects/key activities listed in each programme can be achieved with continued availability of extrabudgetary resources 68

79 STRATEGIC OBJECTIVE: ECONOMIC DEVELOPMENT OF AIR TRANSPORT ECONOMIC DEVELOPMENT OF AIR TRANSPORT REGULAR BUDGET - RESOURCE REQUIREMENTS Posts Man Years Programme Year Total Cost IP GS in '000 CAD Consultancy/ Outsourcing Non-Posts Total Cost in '000 CAD Travel Meetings Other GAT Indirect Costs Total Cost in '000 CAD 1 - Strategy and Policy 2 - Aviation Data Analysis , , ,357 Total: 3, , , , Economic Regulatory Framework 4 - Technical Assistance 5 - Regional Offices Total: 5, , , ,277 Total: 3, Total: 2, , , ,154 Total: 3,265 TOTAL all programmes , ,632 5, , ,720 5, , ,043 6,538 Total triennium: 8, ,396 18,185 Total Direct Costs: 9,788 KEY PRIORITIES EXPECTED RESULTS Enhanced Role of Aviation for Economic Development TOTAL 7 - Lower Impediments to Air Transport Operations 1,130 1,164 1,271 3, Increased Use of Aviation as a Development Tool 1,130 1,164 1,271 3,565 Quality Data, Analysis and Forecasting 11- Improved Data, Analysis and Forecasting ,175 No Country Left Behind 12 - Strengthened Capacity Development ,484 Total: 3,112 3,182 3,494 9,788 69

80 STRATEGIC OBJECTIVE: ECONOMIC DEVELOPMENT OF AIR TRANSPORT Programme 1: Strategy and Policy Key Outcome No. 7, 8, 12 DEV.1.1 Develop global air transport economic strategy/plan, as well as state of the industry No. Project/Key Activity Deliverable 7, 8, 12 DEV.1.2 Provide support for governing bodies of ICAO (Assembly, Council and ATC) 7, 8 DEV.1.3 Promote and enhance role of ICAO in both global and regional, and financial and economic communities to support ICAO s No Country Left Behind (NCLB) Initiative to contribute to the UN Sustainable Development Goals (SDGs) 12 DEV.1.4 Contribute towards the implementation of Resource Mobilization Strategy Development of the global plan; and Regular revision including adjustments required to address new and emerging issues and weaknesses in the implementation of global plan Production of required documentation according to established timelines; Secretary role for governing bodies; and Regular activity reports to Council Improved service delivery to States through efficient coordination and cooperation; Increased recognition by different UN bodies regarding contribution to SDGs; and ensuring ICAO policies fit into the overall framework of the NCLB Initiative and SDGs Identification of potential donors and development of specific projects for voluntary funds and/or grants for the provision of technical assistance for the States Indicator/Target Establishment of global plan by 4Q 2017; and Publication of state of the industry in 4Q each year 90% of actions (Response to Council Decision) to be implemented each year 90% of inputs and contribution provided on- time Review of project plan in 1Q each year 70

81 STRATEGIC OBJECTIVE: ECONOMIC DEVELOPMENT OF AIR TRANSPORT Programme 2: Aviation Data and Analysis Key Outcome No. 7, 8, 11 DEV.2.1 Collect, analyze and disseminate aviation data/statistics No. Project/Key Activity Deliverable 7, 8, 11 DEV.2.2 Develop business analysis tools to maximize the utility of data through visualization 7, 8, 11 DEV.2.3 Evaluate economic contribution and benefits of aviation- related activities/projects (including safety and air navigation improvement) by using refined methodologies 7, 8, 11 DEV.2.4 Develop updated forecasts and harmonize databases in support of aviation development, air navigation planning and environmental economics work (for , this activity will be funded by ARGF) 7, 8, 11 DEV.2.5 Deliver and promote results of economic analyses on emerging issues of global importance and various aspects of air transport in cooperation with other international organizations (for , a part of this activity will be funded by ARGF) Strengthened partnership with other organizations and academia (ACI, UNWTO, World Bank, ILO, UNCTAD, OECD-ITF, ICM, etc.) to rationalize data management and reduce costs; and Modernizing and re-engineering the business processes of the Statistics Programme under the Enterprise Data Management (EDM) framework; Obtaining UN Statistical Commission's endorsement Constant release of new and updated tools; UN-wide Data Catalogue application Establishment of aviation satellite account (aviation GDP) methodologies approved by UN Statistical Commission; Annual economic contribution report; and Reports to evaluate economic benefit of safety and air navigation improvements Updated single harmonized set of long-term traffic forecasts; Customized forecasts for air navigation planning; Updated forecasts of licensed personnel requirements (Doc 9956) Harmonized traffic databases and related statistical information in support of CAEP work; and Provision of fuel consumption data enabling to report on CO2 emissions to UNFCCC Updated global and State-level indicators to monitor the implementation of UN SDGs; Studies on airport capacity constraints, ASBU costs-benefitanalysis etc.; Annual studies on regional differences in airline operating economics to support global airline revenue prorating system; Annual calculation of air mail basic conveyance rate for Universal Postal Union (UPU); New air freight indices in cooperation with UNCTAD; Indicator/Target Average number of days for processing (less than 200 days); and Business process reengineering completed by 4Q business analysis tools developed or updated per year UN Statistical Commission approval obtained by 2Q 2018; and Release of the report by 4Q each year Release of updated long- term traffic forecasts by 4Q each year; and Accuracy of the forecast measured by actual variation divided by forecasted variation (less than 15% of average growth rate deviation) Indicators updated by 4Q each year; Release of studies on regional differences in airline operating economics and air mail basic conveyance rate by 1Q each year; and Release of 1 study/report by 4Q each year 71

82 STRATEGIC OBJECTIVE: ECONOMIC DEVELOPMENT OF AIR TRANSPORT Key Outcome No. No. Project/Key Activity Deliverable Studies on linkages between air transport and health and their economic impact, in coordination with World Health Organization (WHO); Economic Analysis of effectiveness and impact of social regulations with International Labor Office (ILO) (safety, health, security, etc.); and Studies on economic aspects of environmental and social impacts Indicator/Target 72

83 STRATEGIC OBJECTIVE: ECONOMIC DEVELOPMENT OF AIR TRANSPORT Programme 3: Economic Regulatory Framework Key Outcome No. 7, 8 DEV.3.1 Modernize and harmonize global air transport regulatory framework in line with ICAO Long-Term Vision for International Air Transport Liberalization and lead the international community to converge it with tourism and trade sectors No. Project/Key Activity Deliverable 7, 8 DEV.3.2 Finalize a draft long-term vision for air transport liberalization, obtain support and administer the implementation as required (Doc 10027, A38-ECrefers) 7, 8 DEV.3.3 Develop policies and guidance for infrastructure improvement and development for funding of aviation infrastructure and financing of air transport operations 7, 8 DEV.3.4 Develop new guidance material on air cargo services, aircraft leasing and business aviation services 7, 8 DEV.3.5 Provide tools to enhance transparency of air transport regulatory framework and development Updated policy guidance (Docs 9587 and 9626) to reflect A39 Resolutions; Updated high-level principles on consumer protection; Updated policies on taxation (Doc 8632); and Interventions, statements, papers to ensure that the priorities of ICAO Member States reflected in tourism policies through World Tourism Organization (UNWTO) and trade in services negotiations through World Trade Organization (WTO) New draft long-term vision for air transport liberalization and related protocols New policy and guidance material adapted to the implementation of ASBUs; and Updated policies on charges (Doc 9082) economics manuals on airports and air navigation services (Docs 9161 and 9562) Guidance on funding of safety, security and economic oversight functions, including RSOOs New guidance material on air cargo services Updated ICAO aeronautical charges online and Doc 7100; Updated and improved database on world air services agreements (WASA); and Updated ICAO online Compendium of Competition Policies and Practices Indicator/Target 75% of follow up actions completed by 4Q 2019; and Publication of updated Doc 8632 as required Final draft longterm vision ready by 4Q 2017 Publication of Docs 9161 and 9562 revisions by 2Q 2018 Inclusion of guidance on air cargo services in Doc 9626 by 3Q 2019 Coverage of air services agreements in WASA measured by the number of country-pairs with agreements in WASA divided by the number of country-pairs with traffic (50%) 73

84 STRATEGIC OBJECTIVE: ECONOMIC DEVELOPMENT OF AIR TRANSPORT Programme 4: Technical Assistance Key Outcome No. 7, 8, 12 DEV.4.1 Raise awareness of ICAO's air transport policies and guidance, develop State/Regional Action Plans, and assist States to implement them No. Project/Key Activity Deliverable Development of Regional Actions Plans for economic development in cooperation with regional bodies; Provision of support for their implementation and updating Regional Action Plans; and Promotional activities through international meetings, events and social media Indicator/Target 66% of States following ICAO's policies on charges (Doc 9082) by 4Q , 8, 12 DEV.4.2 Facilitate States' air services negotiations and provide an exchange forum for States and aviation stakeholders to reduce regulatory costs 7, 8, 12 DEV.4.3 Facilitate States' access to financial resources such as official development assistance (ODA) for investments in connectivity and infrastructure improvements and poverty alleviating actions as well as other sustainable development goals Enhanced ICAO Air Services Negotiation Event (ICAN), incorporating full spectrum of air transport supply chain; and Organization of policy exchange forum (such as ICAO Air Transport Symposium) Implementation of regulatory tools for decision-makers for poverty alleviation and connectivity enhancement (ESCI Scheme); and Analysis and subsequent facilitation of financial resources for air transport development (ODA) and Enhanced Integrated Framework (EIF) for trade-related assistance for Least Developed Countries (LDC) Cumulative number of Member States utilizing the ICAN facility increased by 10 every year Proposal of ESCI scheme ready by 4Q 2017; and Website on ODA updated by 4Q each year 74

85 STRATEGIC OBJECTIVE: ECONOMIC DEVELOPMENT OF AIR TRANSPORT Programme 5: Regional Offices All Regional Offices Key Outcome No. No. Project/Key Activity Deliverable 7, 8, 12 DEV.5.1 Assist States in the Region to Dissemination and follow ICAO's policies and promotion of policies and guidance, as well as Regional guidance, as well as Action Plans, and monitor and assistance activities through report significant developments interaction with States; and related to air transport matters Reports on current air transport policy initiatives in the region Indicator/Target Increased number of States with a high level of observance to ICAO air transport policies and Regional Action Plans 7, 8, 11, 12 DEV.5.2 Provide support for States in the region concerning civil aviation forecasting, economic planning, and statistics and sharing of data/information 7, 8 DEV.5.3 Cooperate with regional civil aviation bodies/organizations to maximize synergies that ensure efficient and cost-effective assistance to States Regional inventory of statistics; Regional traffic forecasts customized based on global traffic forecasts Priorities of States and ICAO reflected in external policies; and identification of needs in the region Increased number of States submitting statistics forms; and availability of regional traffic forecasts within 1- year after global forecasts are revised Timely expression of ICAO s priority and concern at appropriate forums as per schedule of other international organizations 75

86 STRATEGIC OBJECTIVE: ENVIRONMENTAL PROTECTION ENVIRONMENTAL PROTECTION Description Rationale Minimize the adverse environmental effects of civil aviation activities. Foster ICAO s leadership in all aviation-related environmental activities Civil aviation plays a key role in society as it delivers social, cultural, economic, and political benefits; however, there is a need to take into account the impact on the environment. While technological progress and operational improvements continue, the rate of traffic growth will result with a net increase in aircraft noise and aviation emissions if additional measures are not taken. The ultimate goals of this Strategic Objective are to limit or reduce the number of people affected by significant aircraft noise, and to limit or reduce the impact of aviation emissions on local air quality and aviation greenhouse gas emissions on the global climate. Given the existence of many UN agencies and intergovernmental forums for negotiating environmental matters, comprehensive and balanced measures are required to fulfil such goals at the global level in consistent with the UN system environmental protection policies and practices. Environmental protection and in particular climate change is broad in nature, and affects all sectors of public and private activities. The delivery of the results with respect to this Strategic Objective will contribute to environmental sustainability, which could result in producing efficiencies in the global civil aviation system Key Priorities: Expected Result 9: Key Outcome 9: Indicator: Environmentally Friendly Aviation; Quality Data, Analysis and Forecasting; No Country Left Behind Improved Environmental Performance of Aviation: Enhanced capabilities of States to apply integrated measures to address aircraft noise and engine emissions embracing technological and operational improvements, and the use of sustainable aviation alternative fuels and a global market-based measure for international aviation as appropriate SARPs and mitigation measures are implemented and tools to quantify their benefits are developed Number of States complying with environment-related SARPs Expected Result 10: Key Outcome 10: Indicator: Reduced Environmental Impact on Global Climate: Enhanced capabilities of States to voluntarily prepare and implement appropriate measures to reduce their CO2 emissions from international aviation within the harmonized global regulatory framework in consistent with the UN system environmental protection policies and practices Voluntary preparation and implementation by States of appropriate measures is enhanced Number of States action plans on CO2 emissions reduction activities submitted to ICAO, number of national focal points trained, number of States that receive assistance for preparation and implementation of action plans 76

87 STRATEGIC OBJECTIVE: ENVIRONMENTAL PROTECTION Expected Result 11: Key Outcome 11: Indicator: Improved Data, Analysis and Forecasting: Enhanced capabilities of States to use, analysis and exchange aviation data for decision-making and operational improvement and to measure and, to the extent possible, predict the various aspects of civil aviation development Quality, quantity and analysis of aviation data, including forecasts and tools shared with States, are improved Number of analysis using ICAO data, analysis and forecasts Expected Result 12: Key Outcome 12: Indicator: Strengthened Capacity Development: Enhanced capabilities of States in particular developing and least developed countries to implement global standards and policies and improve air connectivity ICAO's No Country Left Behind initiatives are implemented Effective implementation rates of safety and security oversight systems; number of outstanding SSCs and/or SSeCs NOTE: Many projects/key activities listed in each programme can be achieved with continued availability of extrabudgetary resources 77

88 STRATEGIC OBJECTIVE: ENVIRONMENTAL PROTECTION ENVIRONMENTAL PROTECTION REGULAR BUDGET - RESOURCE REQUIREMENTS Posts Man Years Programme Year Total Cost IP GS in '000 CAD Consultancy/ Outsourcing Non-Posts Total Cost in '000 CAD Travel Meetings Other GAT Indirect Costs Total Cost in '000 CAD 1 - Strategy and Policy 2 - Climate Change 3 - Environmental Standards , , ,623 Total: 4, , , ,189 Total: 3, , , , Assistance and Implementation Support 5 - Regional Offices Total: 4, Total: 1, , , ,014 Total: 5,869 TOTAL all programmes , ,902 6, , ,978 6, , ,381 7,264 Total triennium: 9, ,261 20,059 Total Direct Costs: 10,799 KEY PRIORITIES TOTAL EXPECTED RESULTS Environmentally Friendly Aviation 9 - Improved Environmental Performance of Aviation 1,368 1,393 1,556 4, Reduced Environmental Impact on Global Climate 1,359 1,380 1,513 4,252 Quality Data, Analysis and Forecasting 11- Improved Data, Analysis and Forecasting No Country Left Behind 12 - Strengthened Capacity Development ,577 Total: 3,432 3,484 3,883 10,799 78

89 STRATEGIC OBJECTIVE: ENVIRONMENTAL PROTECTION Programme 1: Strategy and Policy Key Outcome No. 9, 10, 12 ENV.1.1 Develop global environmental protection strategy/plan/report consistent with UN sustainable development framework No. Project/Key Activity Deliverable 9, 10 ENV.1.2 Provide support for governing bodies of ICAO (Assembly, Council, ANC, ATC) as well as CAEP 9, 10 ENV.1.3 Promote and enhance recognition of ICAO leadership in aviation environmental matters, international cooperation (including UN system) and coordination of regional activities as well as ICAO's role in supporting UN environmental initiatives and groups, including SDGs 10, 12 ENV.1.4 Contribute towards the implementation of Resource Mobilization Strategy, including establishment and overseeing of external environmental assistance projects Development of the environmental global plan; and Regular revision including adjustments required to address new and emerging issues and weaknesses in the implementation of global plan Production of required documentation according to established timelines; Secretary for governing bodies and CAEP; and Regular activity reports to Council Improved service delivery to States through efficient coordination and cooperation; Management and coordination of ICAO's contribution to UN environmental initiatives and groups, inputs to UNFCCC/COP, and follow up on the outcome of SDGs; Cooperation and follow-up with UN agencies on efforts that affect international aviation and environment, including WHO, WMO, IMO, IAEA, IRENA, etc. Environment Report, symposium and seminars; Contribution to IPCC Assessment Reports and UNEP publications Identification of potential donors and development of specific projects for voluntary funds and/or grants for the provision of technical assistance for the States; and Project documents required for UNDP/GEF and EU assistance projects Indicator/Target Establishment of environmental global plan by 4Q 2017; and Regular review in 4Q each year 90% of actions (Response to Council Decision) to be implemented each year 90% of inputs and contributions provided on- time; 1 environmental event organized annually Establishment and annual review of projects in 1Q each year; and 90% of expected results provided on-time 79

90 STRATEGIC OBJECTIVE: ENVIRONMENTAL PROTECTION Programme 2: Climate Change Key Outcome No. 9, 10 ENV.2.1 Develop operational/ implementation modalities for Global Market-based Measures (MBM) No. Project/Key Activity Deliverable 9, 10 ENV.2.2 Establish, maintain and update the ICAO MBM Registry and initiate small-scale deployment of ICAO global MBM framework 9, 10 ENV.2.3 Develop policies on sustainable alternative fuels and guidance for adapting aviation infrastructure and procedures to climate change 9, 10 ENV.2.4 Monitor work on climate finance under UNFCCC process, etc. and explore further opportunities for financing to aviation 10 ENV.2.5 Implement Climate Neutral UN initiative (ICAO Emission Reduction Plan) Development of new Annex 16 SARPs; Governance structure establishment; MRV rules and carbon credits eligibility guidance (to be defined by A39); and Training and capacity building seminars for development and implementation of a global MBM (to be defined by A39) Establishment of registry system for a global MBM scheme (to be defined by A39);and A pilot scheme on a limited trial basis (to be defined by A39) SUSTAF Recommendations to Council/Assembly; Analysis of existing policy frameworks; GFAAF maintenance; Global risk assessment of aviation facilities; and New guidance on adaptation to climate change Interventions, statements, papers to ensure that the priorities of ICAO Member States reflected in external policies Development of a methodology to support the offsetting of ICAO GHG emissions; Guidance to UN system on reducing emissions; and Sustainable procurement practices in ICAO Indicator/Target Publication of updated Annex 16 SARPs as required Availability of registry system as required (subject to resources);and Initiation of a pilot scheme as required (subject to resources) Presentation of Draft Assembly paper to Council by 2Q 2019; Update of GFAAF once a year; and Completion of preparatory work by 2Q % of ICAO s position expressed at appropriate forums Release of updated carbon inventory in 3Q each year 80

91 STRATEGIC OBJECTIVE: ENVIRONMENTAL PROTECTION Programme 3: Environmental Standards Key Outcome No. 9 ENV.3.1 Develop and maintain Noise Standards and Recommended Practices No. Project/Key Activity Deliverable Maintenance of Annex 16 Vol. I; Update of Doc 9501 (Environmental Technical Manual); Update of Doc 9829 (balanced approach), in which emerging areas (e.g. supersonics, UAS noise) are addressed; and Provision of support to CAEP working groups Indicator/Target Publication of documents and updates to Annex 16, as required 9 ENV.3.2 Develop and maintain Local Air Quality Standards and Recommended Practices 9, 10 ENV.3.3 Develop and maintain climate change Standards and Recommended Practices 9 ENV.3.4 Update and maintain guidance on eco-friendly airports, evaluate policies for aircraft recycling, and develop Clean Development Mechanism (CDM) methodologies for aviation 9, 10, 11 ENV.3.5 Update, monitor and assess goals and trends Maintenance of Annex 16 Vol. II (including new PM Standard); Update of Doc 9501 (Environmental Technical Manual); Update of Doc 9889 (Airport Air Quality Manual); and Provision of support to CAEP working groups Maintenance of Annex 16 Vol. III; Update of Doc 9501 (Environmental Technical Manual); Update of Circular 337; and Provision of support to CAEP working groups Development of guidance on ecofriendly airports; Assessment of policies for aircraft recycling; and Methodologies that will allow aviation projects to qualify for credits under CDM of the UNFCCC Update of Noise Technology Goals; Update of NOx and Fuel Burn Technology Goals; Monitoring the achievement of environmental goals; Maintenance of environmental databases; Assessment of the feasibility of global aspirational goals; Follow-up and review of scientific aspects of aviation and environment (e.g. IPCC); and Provision of support to CAEP working groups Publication of documents and updates to Annex 16, as required Publication of documents and updates to Annex 16, as required Report to Council and Assembly on current practices related to aircraft recycling by 2Q 2019; and New CDM methodology by 4Q 2019 Release of goals reports by 2Q 2019; and Regular continuous update of databases 81

92 STRATEGIC OBJECTIVE: ENVIRONMENTAL PROTECTION Programme 4: Assistance and Implementation Support Key Outcome No. 10, 12 ENV.4.1 Assist implementation of States' action plans and build required capacity (for a part of this activity will be funded by voluntary contribution) No. Project/Key Activity Deliverable Regional workshops on action plan development and measure implementation etc; Updates of guidance and web-interface; Direct support to States in action plan development and implementation; and Partnerships for access to financing Indicator/Target Over 90 national focal points for State Action Plans trained or directly contacted per year; and 15 States directly assisted in implementing their action plans per year 11 ENV.4.2 Analyze and update tools to assess the effects of aviation on the environment 9, 10 ENV.4.3 Implement and monitor environmental assessment guidance EBT, IFSET, Carbon Calculator, Green Meetings Calculator Doc 9889, APM Vol. II, Doc 10013, Doc 10031, Reference material on collaboration and community engagement with a concentration on PBN 7 environmentrelated tools under development or updated per year Release of update material to include the latest, best practices on environmental assessment guidance 82

93 STRATEGIC OBJECTIVE: ENVIRONMENTAL PROTECTION Programme 5: Regional Offices Key Outcome No. 10, 12 ENV.5.1 Assist development and implementation of States' action plans on CO2 emissions reduction activities in the region No. Project/Key Activity Deliverable Regional training/seminars on action plan development and measure implementation etc. Indicator/Target 60% of States submitting action plans by 4Q , 10, 11, 12 ENV.5.2 Assist States in the region to implement Annex 16 and guidance, as well as on the assessment of environmental benefits which are associated to the implementation of operational improvements Dissemination and promotion of policies and guidance, as well as assistance activities through interaction with States; and Assistance/training on use of the ICAO Fuel Savings Estimation Tool (IFSET) Increased number of States complying with Annex 16 SARPs; and Increased and appropriate reporting of environmental benefits from operational improvements 9, 10 ENV.5.3 Cooperate with regional organizations and represent ICAO in meetings relating to environmental protection Priorities of States and ICAO reflected in external policies; and Identification of needs in the region Timely expression of ICAO s priority and concern at appropriate forums as per schedule of other international organizations 83

94 (this page intentionally left blank) 84

95 PROGRAMME NARRATIVES BY SUPPORTING STRATEGIES Administration and Services Management Budget and Financial Management Communications Ethics Evaluation and Internal Audit Executive Leadership and Management Human Resources Information Management and General Administrative Services Language Services Legal and External Relations Services 85

96 (this page intentionally left blank) 86

97 SUPPORTING STRATEGIES BY PROGRAMME REGULAR BUDGET - RESOURCE REQUIREMENTS Year Admin. Services Mgmt 1 Admin. Support to ANC Assembly & Council Secretariat 1 Budget & Financial Mgmt Communications Conf., Sec. and Gen. Services 2 Ethics Evaluation & Internal Audit Executive Mgmt 3 SPCP 3 Human Resources Information Technology 2 Language Services Legal & External Relations Services Printing & Distribution Services PRO and Travel Services Total Total Cost in '000 CAD Programme Support - Governing Bodies , , , , , , ,067 Total: 842 1,070 1, , , ,972 15, ,279 Programme Support ,846-1,195 2, ,789 8,394 2,437 1, , ,972-1,219 2, ,964 8,580 2,398 1, , ,006-1,262 2, ,082 8,831 2,542 2, ,008 Total: ,124 5,824-3,677 6,761 1,391-11,835 25,805 7,377 5,614 1,488 72,527 Management and Administration ,800-1, ,909 1, , ,915-1, ,080 1, , ,025-1, ,262 2, ,589 Total: 2, ,740-3, ,251 5, ,622 TOTAL , , , ,195 2, ,909 6,315 13,324 2,437 1, , , , , ,219 2, ,080 6,606 13,619 2,398 1, , , , , ,262 3, ,262 6,804 14,018 2,542 2, ,665 Total: 4,209 1,070 1,754 11,740 2,124 11, ,677 7,916 1,391 18,251 19,725 40,961 7,377 5,614 1, ,428 1 Programme: Administration and Services Management 2 Programme: Information Management and General Administrative Services 3 Programme: Executive Leadership and Management 87

98 SUPPORTING STRATEGY REGULAR BUDGET - RESOURCE REQUIREMENTS Programme Year Posts Man Years Total Cost IP GS in '000 CAD Consultancy/ Outsourcing Non-Posts Total Cost in '000 CAD Travel Meetings Other Total Cost in '000 CAD Administration and Services Management , , ,370 Total: 2, ,209 Administrative Support to the ANC Total: 1, ,070 Assembly and Council Secretariat Total: 1, ,754 Budget and Financial Management , , , , , ,025 Total: 10, ,300 11,740 Communications Total: 1, ,124 Conference, Security and General Services ,490 3, ,706 3, ,737 4,012 Total: 2, ,933 11,649 Ethics Total: Evaluation and Internal Audit , , , , , ,262 Total: 3, ,677 Executive Management , , , , , , ,466 Total: 5, , ,916 88

99 SUPPORTING STRATEGY REGULAR BUDGET - RESOURCE REQUIREMENTS Posts Man Years Programme Year Total Cost in '000 CAD Non-Posts Total Cost in '000 CAD Total Cost in '000 CAD IP GS Consultancy/ Outsourcing Travel Meetings Other Strategic Planning, Coordination and Partnerships Office (SPCP) Total: 1, ,391 Human Resources , ,145 5, , ,187 6, , ,233 6,262 Total: 14, ,565 18,251 Information and Communication Technology ,531 1, ,604 6, ,598 1, ,676 6, ,678 1, ,749 6,804 Total: 7,807 3, ,029 19,725 Language Services - Programme Support - Governing Bodies ,994 1, , ,272 1, , ,653 1, ,018 Total: 36,919 4, ,961 Legal and External Relations Services , , , , , ,542 Total: 6, ,377 Printing & Distribution Services ,751 1, ,795 1, ,068 2,068 Total: 5,614 5,614 Procurement and Travel Services Total: 1,488-1,488 TOTAL Supporting Strategies ,324 3, ,860 44, ,072 4, ,271 46, ,025 4, ,333 9,734 48,664 Total: 96,422 11,943 1,558 1,642 27, ,428 89

100 SUPPORTING STRATEGY Supporting Strategy Key Priority Description Administration and Services Management Improved Efficiency and Effectiveness Administrative and Service Management plans, manages and oversees the activities of the Secretariat in administration and services in order to enhance efficiency and effectiveness, to provide support and strategic advice on management issues to ICAO governing bodies as well as to the Secretary General, and to lead operational committees of the Secretariat. Support services are provided for meetings of the ICAO governing bodies, specifically the Council and Assembly, to facilitate the work of Member States and especially those elected to the Council in order to efficiently and effectively conduct meetings. Expected Result 16: Key Outcome 16a: Indicator: Improving Supporting Strategies: Efficient and effective management of administrative resources and services of the Organization, to enhance and facilitate the implementation of Strategic Objectives and programme activities for the benefit of Member States and the civil aviation community Full range of administrative management services are provided to the Organization, through modernized, automated tools and management systems, including corporate performance management Number of modernized tools and management systems implemented and support provided Key Outcome 16b: Indicator: ICAO governing bodies (Assembly and Council) are able to respond effectively to the mandate bestowed on them in Chapters VIII and IX of the Convention on International Civil Aviation Percentage of supporting documentation issued for meetings of the governing bodies within the established timeframes Programme: Administration and Services Management Key Outcome No. 16a Plan, manage and oversee activities of the Bureau of Administration No. Project/Key Activity Deliverable Modernization of administrative and management processes and best practices to ensure efficient management of human and physical resources of the Organization Indicator/Target Implementation of (at least) 3 management systems 16a Provide support and strategic advice on diverse management issues to the Assembly, Council, Human Resources and Finance Committees as well as to the Secretary General and other operational committees of the Secretariat Timely and efficient issuance of working papers, briefs and background documentation on administrative and service management issues 75% of documentation issued within mandated timelines. 90

101 SUPPORTING STRATEGY Key Outcome No. 16a Collaborate on UN Inter Agency initiatives in support of administrative and management reforms aimed at improving organizational efficiency and effectiveness No. Project/Key Activity Deliverable Collaborate with other UN system agencies and adopt suitable management framework and systems from best practices, through participating at UN wide network meetings Indicator/Target Participating in and implementing at least 3 UN wide initiatives 16a Implementation of an integrated, results-based Corporate Performance Management System 16a Plan, manage and oversee organization-wide projects to increase efficiency and effectiveness in administration and services management Completion of Corporate Performance management system and dashboard Implementation of automated electronic tools and completion of management systems and dashboard System deployment by the end of triennium 3 tools implemented by the end of the triennium Programme: Assembly and Council Secretariat Key Outcome No. 16b Provision of Secretariat assistance for meetings of the Council and Assembly, including preparation of Council decisions and minutes as well as Assembly minutes No. Project/Key Activity Deliverable Council Work Programme, Orders of Business, C-DECs, C-MINs, verbatim transcripts, and other documentation related to the sessions of the governing bodies Indicator/Target Documentation issued within the established timeframes and less than three amendments/ revisions per session for C-DECs and C-MINs 16b Preparation and issuance of report on the follow-up action undertaken by the Secretariat in response to decisions taken by the Council Council Decisions For Action (CDFA) report Issued within four months following the conclusion of the relevant session 91

102 SUPPORTING STRATEGY Supporting Strategy Key Priority Description Budget and Financial Management Improved Efficiency and Effectiveness The Finance Branch provides financial and accounting services for all the operations of the Organization through the management, control and reporting of the Organization s assets, liabilities, income and expenses of all funds in accordance with the Financial Regulations, policies, and procedures as well as Assembly and Council directives; ensuring accountability; supporting the allocation of programme and operating resources to optimize the use of expected and/or available funds based on the Organization s priorities (planning and budget); providing guidance on policy matters that have financial considerations; custodial protection of organization' assets and managing and reporting on financial transactions including the Annual Financial Statements and contributors reports while maintaining steady state operations. Expected Result 21: Key Outcome 21: Indicator: Improving Supporting Strategies: Efficient and effective oversight of the Organization s operation per the direction of the Council and the Assembly; and management of the Organization s operations by the Secretary General and Programme Managers Smooth and seamless running of operations are ensured while safeguarding the Organization s assets Zero downtime because of financial issues Programme: Budget and Financial Management Key Outcome No. No. Project/Key Activity Deliverable Manage expenditures within Monthly and Budget reports approved budget and available funds Produce Financial Statements, donor and other financial reports. Financial reports Support to Finance Committee and C-WPs, A-WPs and Oral Reports Assembly Process payments for staff Monthly payroll run members, field experts, and consultants Invest funds of the Organization Cash position reports securely within acceptable liquidity to maintain required cash flow and maximize investment potential Vendor payments 5 business day turnaround time for processing invoices Indicator/Target 0% overspending 98% reports produced on time 100% on-time delivery 100% on-time 0% cash-out situation 95% on-time processing 92

103 SUPPORTING STRATEGY Supporting Strategy Key Priority Description Communications Improved Efficiency and Effectiveness The Communications Unit is responsible for highlighting and raising public awareness on ICAO's priorities and achievements, ensuring that the Organization's mission and role are understood and appreciated all over the world. Expected Result 22: Key Outcome 22a: Key Outcome 22b: Key Outcome 22c: Key Outcome 22d: Key Outcome 22e: Key Outcome 22f: Improving Supporting Strategies: Enhancement of mainstream and aviation community awareness of ICAO and the Organization s Strategic Objectives Public awareness of ICAO and its work is improved ICAO is consistently portrayed as dynamic and responsive Cross-enterprise knowledge and coherence on the ICAO brand and other key public messaging requirements are improved The international profile of ICAO is raised by promptly and regularly highlighting its activities and achievements ICAO's engagement with the trade and mainstream media is improved The level of public recognition of ICAO and the quality of its reputation is effectively monitored and addressed Programme: Key Outcome No. 22a, 22b, 22d, 22e Communications No. Project/Key Activity Deliverable Promote ICAO s programmes, priorities, and achievements in a timely and effective manner Same day news releases on latest development; PRES and SG blogs from which posts/images can be shared to social media feeds; More real-time, dynamic and engaged, social media presence; Establish permanent public displays in Montreal area promoting ICAO's presence and role; Ensure all information on ICAO's public website is wellpresented and up-to-date; Ensure the ICAO Journal remains relevant, well-presented and published on schedule; and Improved regularity and quality of ICAO Media Relations Indicator/Target % of PRES/SG releases issued same day; # of followers on Facebook; # of followers on Twitter; % of SM queries responded to within 60 mins during regular business hours; Minimum 12 editorial articles placed or developed with relevant trade media; and Minimum 52 Press releases or Statements issued per year on ICAO developments 93

104 SUPPORTING STRATEGY Key Outcome No. 22a, 22c Improve the ICAO brand and implement its consistent application on relevant ICAO material No. Project/Key Activity Deliverable Intranet website with guidelines, collateral (logo files, etc.) and brand explanation Indicator/Target 90% of ICAO material consistent with ICAO branding 22f Monitor and report on ICAO s international reputation and media presence in the Com intranet area Daily reports on ICAO news mentions with links to relevant stories, monthly aggregated reports on the COM intra net site; and Ensure annual participation in the WinLeger Global NGO Barometer Improve ICAO s NGO Barometer scoring year 94

105 SUPPORTING STRATEGY Supporting Strategy Key Priority Description Ethics Improved Efficiency and Effectiveness The ICAO Framework on Ethics was adopted by the Council at its 193rd Session with an effective date of 1 January The goal of the framework is "to provide standards leading to a fully operational ethics function within ICAO that is designed to ensure an understanding by all staff members of minimum acceptable standards of behavior." Reporting to the Secretary -General and to Council through an annual report, the Ethics Officer provides advice and guidance on ethics issues to all staff and mandatory and voluntary training on ethics issues. The Ethics Officer is also responsible for the receipt, review and administration of all reports of misconduct; the administration of subsequent authorized investigations; the administration of the ICAO Protection From Retaliation Policy; and the administration of the ICAO Financial Disclosure Policy. Expected Result 23: Key Outcome 23: Indicator: Improving Supporting Strategies: Enhancement of ICAO s reputation as a standard setter and trusted ethical partner Organizational risks arising from conflicts of interest, the non-application of ICAO rules and regulations, and non-compliance with ICAO Standards of Conduct are mitigated Strength (level) of ICAO s ethical culture Programme: Ethics Key Outcome No Provide guidance and advice to all staff on ethics related matters No. Project/Key Activity Deliverable ICAO training literature and communication materials; Updated relevant ICAO policies; and Basic and specialist ethics training courses Indicator/Target 95% of requests responded to within 48 hours; and 95% of new Montreal-based staff to have received basic ethics induction guidance Administer all reports of misconduct as per the ICAO Framework on Ethics, up to and including investigation Administer ICAO Policies related to ethics including those on Financial Disclosure, and Protection from Retaliation Administration of all reported claims of misconduct Reports on compliance; and deliver Annual Report to Council 90% of reports administered within target dates set by ICAO PI/ % compliance rate of staff with policy requirements 95

106 SUPPORTING STRATEGY Supporting Strategy Key Priority Description Expected Result 20: Key Outcome 20a: Key Outcome 20b: Key Outcome 20c: Key Outcome 20d: Evaluation and Internal Audit Improved Efficiency and Effectiveness Evaluation and Internal Audit Office (EAO) contributes to: a) providing assurance to the Secretary General and Member States that adequate internal controls are in place and are functioning effectively, and that resources are expended with due regard for economy, efficiency and effectiveness; b) holding the Organization accountable for the achievement of results, both programmatic and operational, to which it has agreed with its Member States and partners; and c) enhancing organizational performance in support of the achievement of the aforementioned results. Improving Supporting Strategies: Enhancement of assurance through the systematic evaluation and audit of ICAO's programmes, projects and activities; investigations into allegations of misconduct of a financial nature; and coordination with external oversight entities Effectiveness and efficiency of projects, programmes and functional units is improved Risks are managed effectively and internal controls are strengthened Cost savings are achieved Organizational learning is fostered Programme: Evaluation and Internal Audit Key Outcome No. No. Project/Key Activity Deliverable 20a, 20d Conduct independent evaluations Evaluation reports of programmes, policies and projects 20a, 20b, 20c Conduct independent internal audits Internal audit reports Indicator/Target # of draft evaluation reports completed and issued to evaluate per year (target = 2) # of draft internal audit reports completed and issued to auditee per year (target = 5) 20b, 20c Conduct investigations Investigation reports % of investigation reports completed and submitted to Ethics Officer within assigned target timeframes (target = 100%) 20a, 20c, 20d 20a, 20b, 20c Act as focal point for the Joint Inspection Unit (JIU) Track and monitor the status of all oversight recommendations Secretariat action plans in response to JIU reports Follow-up meetings with senior managers # of Secretariat action plans completed for JIU reports (target = same as number of reports submitted to the Council) Follow-up meetings on outstanding oversight recommendations of C/EAO with relevant senior managers (target = 3 per year) 96

107 SUPPORTING STRATEGY Supporting Strategy Key Priority Description Executive Leadership & Management Improved Efficiency and Effectiveness Executive leadership and management pertains to the establishment of clearly defined goals and directions for the organization; a coordinated and coherent approach to work by all units of the organization; good governance and the creation of an environment in which all staff are encouraged and motivated to work in toward the goals of ICAO. It includes: the effective management of resources, both financial, human, physical and intellectual; the establishment of, and adherence to, good governance and best practices; the establishment of, and adherence to, risk management for the purpose of organizational planning and operations; and the establishment of, and adherence to corporate performance management with the intent of improving efficiency and effectiveness. Expected Result 24: Key Outcome 24: Improving Performance: Optimal performance of ICAO in achieving its Vision, Mission, Strategic Objectives and Goals. Optimal performance of the ICAO Secretariat resulting in a positive impact on States and the global aviation community Programme: Executive Leadership and Management Key Outcome No To lead ICAO, under the direction of Council, in the achievement of its Vision, Mission, Strategic Objectives and Goals. No. Project/Key Activity Deliverable Programme Results; Business Plan Indicator/Target On time delivery of results and within budget; Rolling Business Plan each year; Business Plan for each triennium Effectively manage the budget resources within Appropriation and according to Council and Assembly guidelines Corporate Performance Management in ICAO Periodic budget status reports to Council Establishment of a Corporate Management Framework; Regular Performance Management Reporting; Establishment of a culture of performance, accountability, teamwork and cooperation Budget is not overspent while carry over is minimized Establishment of a CPMF tool; Linking CPMF and individual staff performance appraisal; Performance management reporting each year 97

108 SUPPORTING STRATEGY Key Outcome No. No. Project/Key Activity Deliverable Risk Management in ICAO Establishment of a Risk Metrix; Regular Risk Management Reporting; Utilization of Risk Management in organizational planning and operations Indicator/Target Establishment of a Risk Matrix; Regular updates of the Risk Matrix; Risk Management Reporting each year Lead Resource Mobilization activities and oversee extrabudgetary resources Assure that the Organization and its Mission, Strategic Objectives, programmes, products and services consistently present a strong, positive image to Member States, stakeholders, and the public Ensure that ICAO has appropriate systems, processes and controls to enable it to conduct its activities in an economical, efficient, lawful and ethical manner Provide leadership and manage the human resources through an effective and solid ICAO organizational structure Establishment of a Resource Mobilization mechanism; AOSC and ARGF remain profitable; Existing donors continue to support ICAO s mandate; New donors are identified and successfully engaged to support ICAO s mandate Better name recognition of ICAO Audit and Evaluation reports Productive and adequately qualified staff Resource Mobilization mechanism established; Effective implementation of TC projects; ARGF profitability; Voluntary fund raised Press Releases, websites, and a vibrant communication strategy Unqualified audit opinion; Audit recommendations acted upon in a timely manner Efficient recruitment procedures; skills development and training programme; and succession planning 98

109 SUPPORTING STRATEGY Supporting Strategy Key Priority Description Human Resources Improved Efficiency and Effectiveness Human Resources serves as a strategic partner to assist Bureaus and Offices in the implementation of their work programmes. It ensures that the necessary policy frameworks and tools are in place to attract and retain a competent, diverse, motivated and flexible workforce, capable of delivering the required outcomes in accordance with ICAO Strategic Objectives. Human Resources Management (HRM) encourages staff development and facilitates the acquisition of new skills and competencies, as well as updated knowledge, and it provides advisory services on human resource-related matters to the entire workforce. Through the continuous enhancement of HRM policies, rules and procedures, HRM is contributing to building a performance-based culture and in meeting the overall needs of the Organization. Expected Result 17: Key Outcome 17a: Indicator: Improving Supporting Strategies: Meeting the changing staffing needs of the Organization and optimal use of the human resources in support of a result-oriented and performance-based culture. Strategic HRM advisory support, effective and consistent application of HRM regulatory framework and efficient staff administration services are provided Prevalence of up-to-date human resources policies and procedures, reflective of a modern international organization and consistent with the principles and practices of a good employer Key Outcome 17b: Indicator: Diverse and Flexible workforce, equipped with required competencies to deliver work programme, is attained Length of recruitment timelines and quality of staff development programme promoting continuous enhancement of competencies and substantive skills, and a culture of high ethical standards Programme: Human Resources Key Outcome No. 17a, 17b HRM Policy development and improved transparency, availability and consistency in the implementation of Staff Regulations, Rules and procedures (including delegation of authority for HRM) No. Project/Key Activity Deliverable 17a,17b Talent acquisition to meet ICAO's operational requirements, including timely recruitment of human resources through workforce planning, taking into consideration geographical distribution and gender 99 Updated staff rules and administrative instructions in accordance with evolving needs of Organization and UN best practices; and Strategic HRM Framework and Guidance material Timely recruitment (adherence to recruitment timelines); broader geographical representation of ICAO staff; and enhanced representation of women in professional posts Indicator/Target Implementation of at least 3 revised/updated staff rules and/or administrative instructions, procedures and guidance material per year. 80% of all recruitments completed within established timelines

110 SUPPORTING STRATEGY Key Outcome No. 17a, 17b Improve knowledge and skills of staff members in order to meet the evolving needs of the Organization No. Project/Key Activity Deliverable Skills/career profiles; training programme; internal staff mobility; skills/career profiles; training programme; and internal staff mobility Indicator/Target 500 training days provided per year 17a, 17b Enhance and manage performance management framework responsive to the operational needs of the Organization 17a, 17b Timely provision of HR services for the administration of staff, contracts and entitlements, social security (including pension, insurances), and health services 17a, 17b Continued automation of HR functions and enhancement of HR systems and applications, thus enhancing timeliness, transparency and costeffectiveness of HR services delivery Comprehensive staff rule and guidelines on performance management Client satisfaction Essential updates to ERP to align with UN Common System changes Staff rule and guidelines implemented by 31/12/2017 Actions taken within 3-5 days of receipt of request ERP system updated 100

111 SUPPORTING STRATEGY Supporting Strategy Key Priority Description Information Management and General Administrative Services Improved Efficiency and Effectiveness Information Management and General Administrative Services (IAS) endeavors to plan, develop and implement an information management strategy and to manage central information and communications technology services efficiently and effectively to support the various business needs expressed through ICAO s Strategic Objectives and programme activities. IAS provides administrative and logistics support services for all categories of meetings, coordinates the safety and security management for the Organization and the UN Security Management System in Canada, and provides building management and general services for the Organization. Expected Result 19: Key Outcome 19a: Indicator: Key Outcome 19b: Indicator: Key Outcome 19d: Indicator: Improving Supporting Strategies: Efficient and effective management and availability of information and communications technology, conference, security and general services, to enhance the productivity of staff in support of ICAO s Strategic Objectives and to facilitate the interaction and work of Member States and the civil aviation community Modern, sustainable Information and Communication Technology systems are provided to support ICAO's mandate and programme activities Prevalence of up-to-date human resources policies and procedures, reflective of a modern international organization and consistent with the principles and practices of a good employer Efficient management is provided for conferences and events, the safety and security requirements of the Organization, as well as the Organization s core business processes ensured during a crisis, and ongoing improvements of office space and building infrastructure implemented for the benefit of programme activities, Member States and civil aviation stakeholders Minimal number of disruptions in conference, building and security management Preservation and availability of ICAO s official records is ensured, to achieve greater efficiency in retrieval of information as well as digitization of documents in support of substantive work programmes Level of user satisfaction and level of efficiency of filing and records processes Programme: Information and Communications Technology Key Outcome No. 19a Develop and maintain IT Master Plan and support the ICT Management Committee in the coordination and prioritization of IT activities. Ensuring that ICAO information captured, generated or shared are validated, secured, No. Project/Key Activity Deliverable Up to date ICT Master Plan, listing ICT services and current projects as well as the resources dedicated to their implementation and maintenance; Major project list and initiatives presented to IMC Indicator/Target Annual ICT Master Plan submitted and reviewed by IMC; and Percentage completion (90%) of Information Security and 101

112 SUPPORTING STRATEGY Key Outcome No. No. Project/Key Activity Deliverable of high quality and readily accessible through the formulation and implementation of industry best practice policies, strategies and standards 19a Support ICAO Business Units activities through the planning, analysis, acquisition and deployment of ICT infrastructure including electronic mail, network, telephony, data storage as well as server and operating system landscape 19a Provide User Support services and deliver modern office automation and collaboration tools including modern web presence and portals for internal and external ICAO stakeholders 19a Deliver and manage Enterprise applications for Financial and Human resources management, providing support and tools to facilitate the streamlining and automation of work processes, enhancing their transparency across the organization 19a Provide expertise and support to units across ICAO in the acquisition, development and deployment of their core- business applications including systems for performance management, knowledge retention and management or supplementary revenue generation 19d Manage the Organization's official records and digital capture for prioritization at least twice a year; Major New Systems and roll-outs validated independently for compliance with relevant industry or internationally recognized information security standards; and Sustainability of deployed tools (in terms of maintenance and running overhead) factored into their planning, prioritization and ICT funding model Deployed and well maintained core infrastructure; Implemented Industry standards used to unify information management and technology architecture; and set of policies and standards to ensure ICT investments generate business value A responsive and responsible ICT service environment and enhanced ICT Service Management System; Service Approach driven deployment and management of: Intranet Services; Extranet Services; and Portal Services and Central User Management A properly configured ERP and associated systems operating within accepted parameters Knowledge Management or core business applications and solutions developed and deployed in accordance with approved project prioritization Manage the Organization s official records, including the Electronic Documents and Records Management System (EDRMS) and Digital Capture Indicator/Target sustainability assessment report for all new major systems Implementation rate (85%) from Approved Infrastructure deployment Roadmap; and User Satisfaction Levels above 90% Service Level Agreement (SLA) adoption rate (50%) for introduced services; and Percentage of service requests (90%) resolved within an agreedupon/acceptable period of time Percentage ERP system availability (90%) Percentage of ICT application development projects within cost and time tolerance (85%) 90% user satisfaction 102

113 SUPPORTING STRATEGY Programme: Conference, Security and General Administrative Services Key Outcome No. 19b Conferences and events management; Meeting Resource Management; E-Bookings for Secretariat Office Tower and ICAO Conference Center; and Conference Registration Services for ICAO Meetings No. Project/Key Activity Deliverable 19b Effective management of technical systems in Council and ANC Chamber 19b Provision of General Services for ICAO Secretariat; Inventory Management of Organizational Assets; and Delivery of sundry goods and material 19b Building Management Projects and Coordination for building maintenance 19b Safety and Security for the ICAO Secretariat and support for UN stem in Canada in safety and security matters Effective planning in all areas of event management; Meeting budget allotment distribution and monitoring; Remote, self- service room bookings; and Registration of internal and external meeting participants All technical support systems for meeting rooms fully functional Help Desk service calls response fully functional; Management of Non-Expendable Property, Inventory System; and Serviceable loading dock and functional operation Plans, specs, construction and budgetary estimates; and Coordination PWGSC, suppliers and clients Secure HQ and RO premises; and Safe conduct of UN business in Canada Indicator/Target 80% implementation of new technologies for logistics and administrative coordination of events; 90% meetings completed within Meeting Budget parameters; and Minimal disruptions to registration tool and waiting periods at registration < 10 minutes Less than 3 disruptions to Council or ANC meetings due to technical failure General calls to the CSG service desk answered and completed within 48hrs; and 1 completed inventory per triennium of Organizational assets with up to date database 80% of building projects completed on time and within budget Security guards operational 24/7, contingency plans completed to 90%; and SMT meetings, Instructions and Contingency Plans 90% completed and approved by UNDSS 103

114 SUPPORTING STRATEGY Supporting Strategy Key Priority Description Language Services Improved Efficiency and Effectiveness Language Services endeavour to ensure the accuracy and timely delivery of quality translation, interpretation, documentation and publications in the six ICAO official languages in support of programme activities, activities of the governing bodies and other meetings of the Organization, by internal staff resources and through outsourcing, in an efficient and effective manner. Expected Result 18: Key Outcome 18a: Indicator: Key Outcome 18b: Indicator: Improving Implementation Strategies: Availability of efficient and effective services provided in all official languages to maximize reach to States with regard to the implementation of SARPs and to facilitate discussion during meetings, as well as safe-keeping and availability of Organization records and documents Multi-lingual communication in the official languages of the Organization during meetings is facilitated, resulting in optimal opportunities for enriched dialogue between stakeholders Level of stakeholder satisfaction with the quality of services provided Broad availability of essential aviation safety and security communications, standards, and recommended practices is ensured through timely production of key documents and publications in six ICAO languages Level of stakeholder satisfaction with the quality of service provided and its timely delivery Programme: Language Services Key Outcome No. 18a Provide interpretation in the six ICAO languages for deliberative bodies and other ICAO meetings per established rules and regulations. No. Project/Key Activity Deliverable 18b Provide translation services in the six ICAO languages for deliberative bodies, communications with States and publications, as well as for other ICAO meetings in accordance with established rules and regulations. 104 Simultaneous interpretation available for all approved and scheduled meetings, in all ICAO languages required. Interpretation capacity of 1,433 sittings per year in six languages. Simultaneous distribution of ICAO publications and documentation, in accordance with the timetable. Translation capacity of 8.6 million words per year. Indicator/Target 90% client satisfaction 90 % of translations delivered within the established deadline for deliberative bodies, communications with States and other ICAO meetings; and 80% of translations delivered within the established deadline for publications

115 SUPPORTING STRATEGY Key Outcome No. 18b Quality Management for outsourced translation work No. Project/Key Activity Deliverable Quality management performed on outsourced translations identified by translation Chiefs; spot-checking performed on 25% of outsourced translations; and full quality review done on 25% of outsourced translations Indicator/Target 90% user satisfaction with quality of outsourced language versions 18b Project to train junior language professionals 18a, 18b Administration and management of Languages and Publications Short-term contracts for junior language professionals through MOUs with universities, providing them with on- the- job training and mentoring from senior ICAO translation staff Well-organized services for translation and interpretation through editorial, terminology, referencing, documents management and administrative support Ensured knowledge transfer and service continuity; Succession planning 90% utilization of resources to minimize costs and maximize output 105

116 SUPPORTING STRATEGY Supporting Strategy Key Priority Description Legal and External Relations Services Enhancing the International Legal Framework The Legal Affairs and External Relations Bureau provides legal advice to Member States, the governing bodies, the President of the Council and the Secretary General, and the other bureaux and offices on constitutional, policy, administrative, procedural and other matters; facilitates the preparation of international air law instruments and conducting studies especially on items in the work programme of the Legal Committee; provides Secretariat services to various bodies including the Assembly, Legal Committee, and Diplomatic Conferences; promotes the ratification of international air law instruments, performs depositary functions in relation to international air law instruments; registers aeronautical agreements pursuant to Articles 83 and 83 bis of the Chicago Convention; participates in the administration of the internal system of justice; provides assistance to the Organization, members of national delegations and ICAO staff regarding privileges and immunities; and liaises with the Host State, the UN and other organizations. All these functions will be exercised to produce the expected result mentioned below. Expected Result 15: Key Outcome 15: Strengthening the Rule of Law: Enhanced capabilities of States and stakeholders to better comply with their legal obligations and to cooperate within a common legal framework and guidance to build up harmonized relations Timely and high quality of legal advice, protocol services and other working arrangements are provided; every decision or action has a legal basis, and the relevant parties interact under and in accordance with an appropriate legal framework Programme: Legal and External Relations Services Key Outcome No. No. Project/Key Activity Deliverable Provision of legal advice and assistance to Member States, governing bodies of the Organization, President of the Council, Secretary General and other Bureaux and offices Research and studies in international air law to promote its codification and development and facilitating the preparation of international air law instruments Secretariat services to the Legal Committee, Diplomatic Conferences, Executive Committee, Legal Commission, RHCC and certain other bodies/groups Legal opinions 4000 Reports & Studies 5 Attendance at meetings 50 Indicator/Target 106

117 SUPPORTING STRATEGY Key Outcome No. No. Project/Key Activity Deliverable Performing external relations functions, including relations with Host States, the UN common system, other international organizations, and protocol services to delegations Protocol Assistance 1050 Indicator/Target Depositary and treaty registration functions Participating in the system of administration of justice as regards employment disputes Deposits and Registrations 105 & 180 Pleadings and proceedings

118 (this page intentionally left blank) 108

119 PROGRAMME NARRATIVES EXTRA-BUDGETARY FUNDS Administrative and Operational Services Costs Fund Ancillary Revenue Generation Fund 109

120 (this page intentionally left blank) 110

121 EXTRA-BUDGETARY FUNDS Fund Objective Administrative and Operational Services Costs (AOSC) Fund Technical Cooperation Programme The AOSC Fund is established to meet the full cost of the administration, operation and support of the Organization s Technical Cooperation Programme to assist Member States in the Implementation of ICAO Standards and Recommended Practices (SARPs) and Air Navigation Plans (ANPs) as well as in the development of their civil aviation administration infrastructure and human resources in line with the overall objectives of the Organization. Objective 1: Key Activities: Assist States in the development of their civil aviation programmes, including infrastructures, equipment and human resources, with the aim of fostering their economic development and achievement of self-sufficiency in the civil aviation field. Cooperate with States and other stakeholders in the identification, formulation, mobilization of resources and implementation of civil aviation projects. Make optimum use of ICAO Voluntary Funds and other development partners funding for technical assistance and technical cooperation projects.. Objective 2: Foster the global implementation of ICAO s Standards and Recommended Practices (SARPs) and Air Navigation Plans (ANPs) keeping in mind the Strategic Objectives of the Organization. Key Activities: Encourage States when implementing civil aviation projects through the Technical Cooperation Bureau, to give due regard to the Universal Safety Oversight Audit Programme (USOAP) Continuing Monitoring Approach (CMA) and Universal Security Audit Programme (USAP) audit findings and recommendations in order to rectify deficiencies and resolve Significant Safety Concerns within the required time frame. Make use of audit results, gap analysis, mission reports, ICAO/States Plans of Action and other sources to identify and develop potential projects with the agreement of the audited State. Take into consideration the Strategic Objectives of the Organization, giving preference to those activities which will promote early and effective implementation of ICAO standards whilst taking into account the special needs of least developed countries, Small Island developing States and the particular air transport needs of Africa, thus contributing to the achievement of the United Nations Millennium Development Goals. Objective 3: Provide rapid emergency assistance to Governments, the United Nations and other development partners in response to post conflict, national disaster and national calamities situations in States. Key Activities: Participate in Organization-wide emergency response actions to address natural disaster, national calamities and post conflict situations in States. 111

122 EXTRA-BUDGETARY FUNDS ESTIMATED ADMINISTRATIVE AND OPERATIONAL SERVICES COST (AOSC) FOR (In Thousands of Canadian Dollars) TOTAL TCB MANAGEMENT AND ADMINISTRATION 9,560 9,700 9,930 29,190 Note: The budgetary estimates for the Administrative and Operational Services Cost Fund are for planning purposes and are indicative only. They will be reviewed annually and be submitted to the Council for approval in conjunction with updated forecasts of Programme levels for the coming year, and will be revised, if required. The figures presented herein include the cross funding mechanism between the Regular Budget and the AOSC Fund: i.e. a yearly transfer of CAD 496,000 from the Regular Budget to the AOSC Fund for procurement and travel services provided by TCB to the Regular Programme and yearly transfers from the AOSC Fund to the Regular Budget of i) CAD 1.2 million for Regular Programme support services to TCB, ii) CAD 210,000 for Regional Office support, and iii) CAD 100,000 for ICAO s Ethics Officer (40% cost-sharing). ESTIMATED TECHNICAL COOPERATION PROGRAMME IMPLEMENTATION FOR (In Thousands of US Dollars) TECHNICAL COOPERATION PROGRAMME IMPLEMENTATION TOTAL 125, , , ,000 Note: The triennial Technical Cooperation Programme forecast cannot be predicted with a great degree of accuracy since the Programme implementation volume is dependent on the governments of recipient countries and funding sources decision as to when and how much of the Technical Cooperation Programme will be implemented in a given year. Therefore with an average administrative overhead rate of 5.7 percent plus additional income of approximately CAD 800,000 from other sources, the figures above represent the required yearly implementation to sufficiently cover the AOSC Fund expenditures for the next triennium. 112

123 EXTRA-BUDGETARY FUNDS Fund: Objective: Ancillary Revenue Generation Fund (ARGF) Revenue Generating Activities Support the Strategic Objectives of ICAO by providing revenues that can be reinvested in the creation of intellectual property and in the growth of international aviation excellence leaving no country behind Goal: Expected Result 19: Key Outcome 19c: Indicator: Expected contribution of CAD 19.3 million to the regular programme budget over the triennium and continued funding of several posts in Bureaus which are working towards the overall objectives of ICAO. Improving Supporting Strategies: Target contribution of the ARGF to the Regular Programme budget met, new and improved products and services created and efficient printing services provided Agreed financial contribution of the ARGF to the Regular Programme Budget is met by introduction of new products and services that support the creation of intellectual property, support brand recognition and generate revenues; as well as affordable and timely print services provided to programme activities and aviation stakeholders. Variance of the financial contribution of the ARGF to the contribution target. Key Activities/Product areas Output/Deliverable 1. Printing Services Printing of ICAO publications and documentation; print services to internal and external clients. 2. Publications Sale of ICAO publications and information. 3. Events & Symposia Event management and sponsorships. 4. Training Courses and course materials. 5. Licensing & Partnerships Contractual agreements for the use of ICAO products and services. 6. Office & Conference Services Services to delegations and renters. 7. Develop and test new Products in the marketplace New products developed. 8. Promote awareness and marketing of ICAO products to maximize revenues, broaden ICAO customer base and support branding and recognition of ICAO Promotional campaigns and ICAO customer database. 113

124 (this page intentionally left blank) 114

125 ANNEXES ANNEX 1 Mapping of Strategic Objectives/ Programmes to Organizational Structure ANNEX 2 Regular Programme Budget by Organizational Structure and Object of Expenditure 115

126 ) (this page intentionally left blank) 116

127 Annex 1 Mapping of Strategic Objectives/Programmes to Organizational Structure STRATEGIC OBJECTIVES Safety Air Navigation Capacity and Efficiency Security and Facilitation Economic Development of Air Transport KEY PRIORITIES Continuous Safety Improvements Harmonized Global Air Navigation Modernization Continuous Aviation Security and Facilitation Improvements Enhanced Role of Aviation for Economic Development EXPECTED RESULTS Improved Aviation Safety: Enhanced capabilities of States to manage risks, associated with aviation activities to an acceptable level of safety performance. Strengthened Regulatory Capacity: Enhanced capabilities of States, in particular those with low levels of effective implementation of global standards, to fulfil their mandates. Increased Air Navigation Capacity: Enhanced capabilities of States to access develop, implement and use technologies in Air Navigation Systems to meet current and future demand. Optimized the performance of the Global Aviation System: Enhanced the capabilities of States to maximize the benefits of the use of existing technical capabilities and technologies, and increase the return on investment of new ones. Reduced Aviation Security Risk: Enhanced capabilities of States to reduce the level of risk posed by existing, new and emerging threats to civil aviation and boarder integrity by effective regulatory oversight frameworks and implementation of countermeasures and responses commensurate with the level of threat, as well as the harmonized global aviation security policy framework. Improved Efficiency in Border Clearance Operations: Enhanced capabilities of States to facilitate movement of people and goods by air with minimum operational delays, and high quality security and law enforcement. Lower Impediments to Air Transport Operations: Enhanced capabilities of States to improve air connectivity, create more competitive business opportunities in the marketplace, increase consumer's benefits and choices, and reduce financial burden and costs in performing regulatory oversight functions. Increased Use of Aviation as a Development Tool: Enhanced capabilities of States to use aviation as an effective means to achieve economic development, in particular, increase accessibility to funding for aviation infrastructure development 117 PROGRAMMES 1 Strategy and Policy 2 Flight and Ground Safety 3 Implementation Planning & Support 4 Monitoring and Oversight 5 Regional Offices 1 Strategy and Policy 2 Airspace Optimization 3 Aerodrome Optimization and Infrastructure 4 Implementation Planning and Support 5 Regional Offices 1 Strategy and Policy 2 Aviation Security Policy 3 Aviation Security Audit 4 Implementation Support and Development 5 Facilitation 6 TRIP/MRTD 7 Regional Offices 1 Strategy and Policy 2 Aviation Data and Analysis 3 Economic Regulatory Framework 4 Technical Assistance 5 Regional Offices Bureau/ Office ANB/ Regional Offices ANB/ Regional Offices ATB/ Regional Offices ATB/ Regional Offices Annex 1

128 STRATEGIC OBJECTIVES Environmental Protection All Strategic Objectives KEY PRIORITIES Environmentally Friendly Aviation Quality Data, Analysis and Forecasting No Country Left Behind Training and Capacity Building in Aviation Technical Assistance and Cooperation Enhancing the International Legal Framework EXPECTED RESULTS and investment in air connectivity. Improved Environmental Performance of Aviation: Enhanced capabilities of States to apply integrated measures to address aircraft noise and engine emissions embracing technological and operational improvements, and the use of sustainable aviation alternative fuels and a global market-based measure for international aviation as appropriate. Reduced Environmental Impact on Global Climate: Enhanced capabilities of States to voluntarily prepare and implement appropriate measures to reduce their CO2 emissions from international aviation within the harmonized global regulatory framework in consistent with the UN system environmental protection policies and practices. Improved Data, Analysis and Forecasting: Enhanced capabilities of States to use, analysis and exchange aviation data for decisionmaking and operational improvement and to measure and, to the extent possible, predict the various aspects of civil aviation development. Strengthened Capacity Development: Enhanced capabilities of States in particular developing and least developed countries to implement global standards and policies and improve air connectivity. Strengthened Aviation Professional Skills: Enhanced capabilities of States to harmonize their training programmes through the provision of efficient criteria and procedures for the development and recognition of civil aviation training centres and training courses addressing ICAO provisions and programmes. Optimized Capacity and Project Delivery: Enhanced capabilities of States to develop required capacity and implement aviation related projects in a cost effective manner. Strengthening the Rule of Law: Enhanced capabilities of States and stakeholders to better comply with their legal obligations and to cooperate within a common legal framework and guidance to build up harmonized relations. PROGRAMMES 1 Strategy and Policy 2 Climate Change 3 Environmental Standards 4 Assistance and Implementation Support 5 Regional Offices Bureau/ Office ATB/ Regional Offices ANB/ ATB ANB/ATB/ Regional Offices GAT TCB LEB 118

129 STRATEGIC OBJECTIVES Supporting Strategies KEY PRIORITIES Improved Efficiency and Effectiveness EXPECTED RESULTS 16 Improving Supporting Strategies: Efficient and effective management of administrative resources and services of the Organization, to enhance and facilitate the implementation of Strategic Objectives and programme activities for the benefit of Member States and the civil aviation community. 17 Improving Supporting Strategies: Meeting the changing staffing needs of the Organization and optimal use of the human resources in support of a result-oriented and performance-based culture. 18 Improving Supporting Strategies: Efficient and effective availability of services provided in all official languages to maximize reach to States with regard to the implementation of SARPs and facilitates discussion during meetings, as well as safekeeping and availability of Organization records and documents. 19 Improving Supporting Strategies: Efficient and effective management and availability of information and communications technology, conference, security and general services, to enhance the productivity of staff in support of ICAO s Strategic Objectives and to facilitate the interaction and work of Member States and the civil aviation community. Target contribution of the ARGF to the Regular Programme Budget met, new and improved products and services created and efficient printing services provided. 20 Improving Supporting Strategies: Enhancement of assurance through the systematic evaluation and audit of ICAO's programmes, projects and activities; investigations into allegations of misconduct of a financial nature; and coordination with external oversight entities. 21 Improving Supporting Strategies: Efficient and effective oversight of the Organization s operation per the direction of the Council and the Assembly; and financial management of the Organization s operations by the Secretary General and SUPPORTING STRATEGIES Programme Support - Governing Bodies Assembly and Conference Secretariat Conference, Security & General Admin. Services Administration and Services Management Information and Communication Technology Language Services Assembly Management Programme Support Direction Office of the President Office of the Secretary General Evaluation and Internal Audit Strategic Planning, Coordination and Partnerships Office Communications Programme-related Services Conference, Security and General Administrative Services Administration and Services Management Information and Communication Technology Language Services Legal and External Relations Services Printing and Distribution Procurement and Travel Services Management and Administration Conference, Security and General Administrative Services Administration and Services Management Ethics Budget and Financial Management Human Resources ADB LEB OSG 119

130 Programme Managers. Information and Communication Technology 22 Improving Supporting Strategies: Enhancement of mainstream and aviation community awareness of ICAO and the Organization s Strategic Objectives 23 Improving Supporting Strategies: Enhancement of ICAO s reputation as a standard setter and trusted ethical partner 24 Improving Performance: Optimal performance of ICAO in achieving its Vision, Mission, Strategic Objectives and Goals. OSG 120

131 ANNEX 2 ANNEX 2: REGULAR PROGRAMME BUDGET BY ORGANIZATIONAL STRUCTURE AND OBJECT OF EXPENDITURE 1. This Annex provides an overview of ICAO s Budget requirements for 2017 to 2019 similar to the traditional format, i.e. by Organizational structure. 2. A description of the Organization s Bureaux, major Offices and their responsibilities is provided hereunder: 3. The Air Navigation Bureau serves as the lead within the organization for supporting Safety and Air Navigation. Its work both on core technical functions derived from the mandate contained in the Chicago Convention and on the global management of aviation as governed by the Global Aviation Safety Plan and Global Air Navigation Plan. a) The core functions include: i. Responding to crises affecting international civil aviation, such as volcanic eruptions, the spread of communicable diseases and regional conflict; and ii. Addressing all technical aspects of aviation safety and air navigation including the following : Aerodromes, Accident Investigation, Air Traffic Management, Aviation Medicine, Meteorology, Aeronautical Information Management, Communication, Surveillance, Navigation, Operations, Airworthiness, Training, and Personnel Licensing; b) The tasks related to the management of aviation involves: i. Monitoring the overall health of the global and regional aviation systems; ii. Identifying and analysing : deficiencies in implementation, gaps in Standards and Recommend practices of the organization, as well as emerging issues; and formulating strategies and plans to address the issues highlighted in the analysis; iii. Assisting States in the achieving and maintaining high levels of safety while achieving stable and sustainable growth in the international aviation sector by providing them with a comprehensive and complete set of regulatory tools including; iv. A set of international SARPs to ensure a safe and harmonized evolution of aviation Annex 1 Personnel Licensing Annex 2 Rules of the Air Annex 3 Meteorological Service for International Air Navigation Annex 4 Aeronautical Charts Annex 5 Units of Measurement to be Used in Air and Ground Operations Annex 6 Operation of Aircraft Annex 7 Aircraft Nationality and Registration Marks Annex 8 Airworthiness of Aircraft Annex 10 Aeronautical Telecommunications Annex 11 Air Traffic Services Annex 12 Search and Rescue Annex 13 Aircraft Accident and Incident Investigation Annex 14 Aerodromes Annex 15 Aeronautical Information Services Annex 18 The Safe Transport of Dangerous Goods by Air Annex 19 Safety Management v. A set of manuals, workshops and other guidance to ensure that the SARPs and policies are properly understood; and vi. A set of tools to provide the data, analysis and other information to assist States with making decisions at a regional, and sub-regional, level; and tools to track global implementation. c) In order to accomplish these tasks in and efficient and effective manner ANB fosters a network of Safety and AN resources through which it : 121

132 ANNEX 2 i. Manages over 600 experts from across the globe that serve on panels, study groups and taskforces to develop technical provisions; ii. Maintains a constant communication and coordination with international organizations representing all major sectors of (an increasingly devolving and diversifying) aviation system; and iii. Otherwise leverages the skills and experiences of States and entities involved in aviation by engaging in partnerships to provide training and tools amongst other things. 4. The Air Transport Bureau (ATB) carries out activities under ICAO s Strategic Objectives for Security and Facilitation, Economic Development of Air Transport, and Environmental Protection. It is responsible for the provision of expert assistance required by the Assembly, Council, Air Transport Committee (ATC), Committee on Unlawful Interference (UIC), Committee on Joint Support of Air Navigation Services (JSC), Committee on Aviation Environmental Protection (CAEP) and the specialized conference, divisional, panel and working group meetings related to these three Strategic Objectives. The Bureau is charged with developing and updating Standards and Recommended Practices (SARPs) in Annexes 9, 16 and 17, air transport policies and guidance (such as air transport regulation, economics of airports and air navigation services, and funding of aviation infrastructure), the specifications for machine readable travel documents, as well as environment-related policies and measures. In addition, the Bureau implements the ICAO Comprehensive Aviation Security Strategy (ICASS), including the Universal Security Audit Programme Continuous Monitoring Approach (USAP-CMA), and the ICAO Traveller Identification Programme (TRIP) Strategy. The work of the Bureau increasingly focuses on the No Country Left Behind (NCLB) initiatives by providing assistance for States, for example, in rectifying deficiencies identified by the USAP-CMA, implementing air transport policies and declarations, and preparing and implementing voluntary action plans for CO2 emissions reduction activities. Furthermore, it maintains and provides access to aviation data/statistics, tools and forecasts. The Bureau works with other offices of the Organization including Regional Offices and academia, performs liaison and coordinates the above-mentioned issues with all the United Nations bodies and other international organizations, especially the United Nations Framework Convention on Climate Change (UNFCCC), the World Tourism Organization (UNWTO), World Customs Organization (WCO) and regional civil aviation organizations. 5. The Legal Affairs and External Relations Bureau (LEB) provides legal advice to Member States, the governing bodies, the President of the Council and the Secretary General, and the other bureaux and offices on constitutional, policy, administrative, procedural and other matters; facilitates the preparation of air law instruments and conducts studies especially on items in the work programme of the Legal Committee; provides Secretariat services to various bodies including the Assembly, Legal Committee and Diplomatic Conferences; promotes the ratification of international air law instruments; performs depositary functions in relation to international air law instruments; registers aeronautical agreements and arrangements pursuant to Articles 83 and 83 bis of the Chicago Convention; participates in the administration of the internal system of justice; provides assistance to the Organization, members of national delegations and ICAO staff regarding privileges and immunities; and liaising with the Host State, the United Nations and other organizations. As in the previous triennium, the Bureau falls under Programme Support, under the function Legal and External Relations Services 6. The Bureau of Administration and Services (ADB) is responsible for providing the administrative support required by the Organization relating to the following: human resources; languages and publications; information and communication technology and web management; conference, security and general services; registry, archives and distribution; travel services; revenue-generating activities; and Assembly and Council Secretariat. 7. The following offices report directly to the Office of the Secretary General (OSG): a) The Regional Offices (RO): The seven Regional Offices (located in Paris, Dakar, Nairobi, Lima, Mexico, Bangkok and Cairo) are primarily responsible for maintaining continuous liaison with the States to which they are accredited and with appropriate organizations, regional civil aviation bodies and United Nations Agencies and programmes. They ensure interregional coordination and promote the timely and harmonized implementation of ICAO policies, decisions, Standards and Recommended Practices and air navigation plans. They also provide technical guidance and 122

133 ANNEX 2 assist States with implementation. The first Regional Sub-Office (RSO), under the APAC Regional Office and located in Beijing, China, opened in June b) The Communications Unit (COM) supports ICAO in achieving its Strategic Objectives and work programme through efforts to enhanced awareness of its achievements and policies among the general public, traditional and non-traditional news, trade and social media, and other public and media stakeholders as appropriate. The Communications Unit reports to the Office of the Secretary General and is also answerable to the Office of the Council President, who has ultimate authority over ICAO s external communications. c) The Finance Branch (FIN) is responsible for developing and applying budgetary, accounting and financial policies and procedures; The financial management of the approved budget in accordance with the Financial Regulations and Rules and Assembly and Council directives. The banking and investment of the Organization's funds are undertaken by the Finance Branch. Chief, Finance Branch is the Secretary of the Finance Committee. As principal financial officer of the Organization, the Chief, Finance Branch maintains close liaison with the External Auditor and certifies all ICAO financial statements. FIN falls under Management and Administration, performing Budget and Financial Management function. d) The Evaluation and Internal Audit Office (EAO) is responsible for the systematic evaluation and audit of ICAO's programmes, projects and activities, as well as investigations into allegations of misconduct of a financial nature. EAO is also mandated to act as focal point for the Joint Inspection Unit (JIU) and is responsible for coordinating the preparation of the Secretariat Action Plan to implement the External Auditor s recommendations and for tracking and following up on the status of previously issued outstanding recommendations with the managers responsible for implementing them. Additionally, EAO provides secretariat services to the Evaluation and Audit Advisory Committee (EAAC). EAO falls under Programme Support, performing Evaluation and Internal Audit function. e) The Ethics Office provides formal and informal advice on ethics related issues. This office is independent from all other services and has both formal and informal access to the Council. All personnel members have access to the Ethics Officer to report cases of suspected wrongdoing. Other responsibilities of the Ethics Officer include the provision of mandatory and refresher training on ethics matters; the handling of all reported cases of misconduct; administering the ICAO policy on protection from retaliation; and implementing the ICAO financial disclosure policy. This Office falls under Management and Administration, performing the Ethics function. f) The Global Aviation Training Office (GAT) is responsible for the planning, management, and coordination of all ICAO aviation training activities, ensuring the efficient, effective, and harmonized implementation of the ICAO Civil Aviation Training Policy, and the response to training needs of Member States, international and regional organizations, aviation industry and other partners. GAT is the ICAO focal point of contact for all training and associated activities. g) The Strategic Planning, Coordination and Partnerships Office (SPCP) activities are under the direction of the OSG and coordinates high-level and cross-cutting strategies and priorities among the different Bureaux and Offices, including the Regional Offices, of the Organization. In particular, the SPCP is responsible for the developing and maintenance of the ICAO Business Plan, the ICAO Operating Plan, the Corporate Performance Management Framework, the Corporate Indicators and the Risk Registry, which form the basis for resource allocation and assist the Secretariat to monitor its accountability and performance with respect to the implementation of initiatives. The SPCP is also focused on assisting Member States in enhancing their air transport systems by mobilizing resources to secure funding and 123

134 ANNEX 2 development assistance in the form of financing, transfer of technology and expertise, and leveraging strategic partnerships with major development partners. 8. The current Organigram is in Exhibit Table 6 provides the breakdown of the Budget for 2017 to 2019 by Organizational Structure. Expenditure* Budgets Budgets Total TOTAL % of Total ANB 16,742 19,687 17,093 17,674 18,383 53,150 18,566 19,413 19,745 57, % ATB 10,298 10,915 10,168 10,498 11,209 31,874 10,525 10,771 11,581 32, % LEB 2,215 2,167 2,466 2,329 2,484 7,278 2,437 2,398 2,542 7, % RO 21,221 24,397 22,452 22,992 23,899 69,344 24,043 23,893 24,793 72, % ADB 30,695 35,660 30,542 31,389 31,791 93,722 31,212 32,269 33,067 96, % OSG Pres/SG/Ethics 2,052 2,485 2,054 1,976 3,108 7,137 2,927 2,993 4,235 10, % COMCOM , , % EAO EAO 1,174 1,309 1,186 1,136 1,045 3,368 1,195 1,219 1,262 3, % FIN FIN 3,646 3,734 4,207 4,092 4,198 12,497 3,800 3,915 4,025 11, % RGA 1,341 1,457 1,945 1,992 2,254 6,190 1,751 1,795 2,068 5, % Other** , % 89, ,257 92,752 94,737 99, ,538 97,642 99, , , % * at UN Rate of Exchange; includes expenditure funded by carry-over of unutilized appropriations from prior year ** payments for TCB TABLE 6: BUDGET FOR AND BUDGET FOR BY ORGANIZATIONAL STRUCTURE (in thousands of CAD) 10. Table 7 provides the breakdown of the Budget for 2017 to 2019 by major objects of expenditures, which are termed budget blocks. Under Posts, there are IP Posts and General Service Posts. Under Non-posts, there are: Capital Expenditures, Consultancy, Outsourcing, Discretionary Staff-related Costs, Operational Expenditures, Special Implementation Projects (SIP), Meeting, Travel on Mission, and Hospitality. Definitions of these terms are in paragraph 13 below. As in previous budgets, resources for posts take up approximately 77 per cent. Further breakdown of the budget by Bureau/Office and objects of expenditures can be found in the Exhibits section. Table 7: BUDGET SUMMARY BY BUDGET BLOCK (Major Object of Expenditure) Expenditure* Budgets Budgets % of Total Total Total Posts IP Posts 52,570 60,304 53,823 54,590 57, , % 58,117 58,858 61, , % General Service Posts 16,329 18,513 16,942 17,324 17,706 51, % 17,633 18,109 18,550 54, % Total Posts: 68,899 78,817 70,765 71,914 74, , % 75,750 76,967 80, , % Non-Posts Capital Expenditures 377 1, , % 1, , % Discretionary Staff Related Costs 1, ,145 3, % 1,226 1,270 1,318 3, % SIP % % Consultancy 2,994 3,213 2,805 2,826 2,714 8, % 3,264 3,418 3,397 10, % Outsourcing 1,423 2,032 1,205 1,233 1,263 3, % 1,705 1,793 1,834 5, % Operational Expenditures 9,761 10,236 10,925 11,244 11,565 33, % 8,830 9,159 9,773 27, % Meetings 1,426 1,380 1,225 1,235 2,340 4, % 1,159 1,526 2,461 5, % Travel on Mission 3,620 4,219 4,122 4,403 4,498 13, % 4,383 4,529 4,651 13, % Hospitality % % Total Non-Posts: 20,994 23,440 21,986 22,822 24,250 69, % 21,893 22,901 24,468 69, % TOTAL: 89, ,257 92,752 94,737 99, , % 97,642 99, , , % * at UN Rate of Exchange; includes expenditure funded by carry-over of unutilized appropriations from prior year % of Total 11. The post changes by Organizational Structure and Post category are displayed in Table 8. The table highlights the increase of 14.6 posts with the increases mainly in the Regional Offices. In addition, two posts were transferred from ATB to the Regional Offices and one post transferred from HR to ATB. Within OSG, three posts were transferred from FIN to the Strategic Planning, Coordination and Partnerships Office which was created in

135 Table 8: POST MOVEMENT FROM YEAR 2016 TO YEAR 2019 Year Movement Bureau/Office 2016* New Transfer 2019 Year Net Change ANB IP GS Total IP + GS ATB IP GS Total IP + GS R.O.s IP GS Total IP + GS LEB IP GS Total IP + GS ADB IP GS Total IP + GS President/OSG IP GS Total IP + GS ANNEX 2 Total IP GS * Revised to reflect movement within Secretariat after January Pursuing the analysis by organizational structure, the resources for triennium for HQ Montreal is 75.9% (75.8% for ) as compared to 24.1% (24.2% for ) for the Regional Offices. 13. Hereunder is an overall description of what is included under the major Objects of Expenditure, i.e. budget blocks as defined in ICAO s ERP system: Posts Resources a) International Professional (IP) Posts: remuneration and other entitlements received by staff members under the Professional category, in particular salaries, post adjustment, dependency allowances, medical insurance, pension contribution of the Organization, education grants/travels, home leave travels, recruitment and separation entitlements such as assignment grants, repatriation grants, removal costs, and accrued leave. The After Service Health Insurance for IP retirees (Organization s portion), and the representational allowances for the Council President and the Secretary General are also included under this budget block. b) General Service Posts: remuneration and other entitlements received by staff members under the General Service category, in particular salaries, dependency allowances, language allowances, medical insurance and pension contribution of the Organization. The After Service Health Insurance for GS retirees (Organization s portion) are also included under this budget block. Standard costs have been used for each category of post (Professional and General Service) both at HQ and in Regional Offices. Staff entitlements are in accordance with the Staff Regulations, which are approved by the Council and are based on rates that are established by the International Civil Service Commission (ICSC) for the United Nations common system. 125

136 ANNEX 2 In addition to annual salary increments, mandatory cost increases for posts are due to salary revisions resulting from inflationary and other factors determined by the United Nations International Civil Service Commission. The following lists the major expenditure items under the IP and GS budget blocks: STAFF COST Expenditure* Budget Budgets Description TOTAL (in '000 CAD) (in '000 CAD) Salaries, Wages and Other Pay Items Salaries and Wages Professional 23,706 29,630 24,248 29,442 30,315 31,802 91,560 General Service 11,841 13,337 12,913 12,679 13,004 13,317 38,999 Post Adjustments - IP 12,448 11,150 14,848 10,534 10,844 11,373 32,751 Language Supplement - GS Ovetime - GS TOTAL, Salaries, Wages and Other Pay Items 48,365 54,499 52,518 53,132 54,652 56, ,778 Common Staff Costs Recruitment, Transfer & Termination Costs 3,229 3,937 3,517 3,461 2,750 2,652 8,863 Contributions, Joint Staff Pension Fund Professional 7,321 8,687 7,611 7,544 7,767 8,156 23,467 General Service 2,422 2,505 2,524 2,006 2,060 2,115 6,181 Dependency Allowance Professional ,667 General Service ,935 Education Grant and Related Travel 1,656 2,152 1,528 1,780 1,825 1,883 5,488 Medical Insurance Professional 3,079 3,337 3,240 3,426 3,464 3,597 10,487 General Service 1,066 1,684 1,090 1,725 1,791 1,832 5,348 Travel on Home Leave - IP ,159 Mobility/Hardship - IP Rental Subsidy - IP TOTAL, Common Staff Costs 20,534 24,318 22,282 22,619 22,314 23,080 68,013 TOTAL, STAFF COSTS 68,899 78,817 74,800 75,750 76,967 80, ,791 * at UN Rate of Exchange; includes expenditure funded by carry-over of unutilized appropriations from prior year Non-posts resources c) Capital Expenditures: purchases of items with a value greater than CAD that has a useful life of more than a year. This includes provision for IT-related purchases such as servers, and for the purchase of non-it office equipment such as photocopying and audio-visual devices, office furniture and fittings and vehicles. Most of the provisions relating to the purchases are for the replacement of obsolete and unserviceable items. For , the following capital items are foreseen to be purchased: 126

137 ANNEX 2 d) Discretionary Staff-Related Costs: cost of staff training, staff welfare, staff security and other staff-related costs. The budget estimates are centralized, under ADB-Human Resources. DISCRETIONARY STAFF RELATED COSTS Expenditure* Budget Budgets Description TOTAL (in '000 CAD) (in '000 CAD) Discretionary Staff Related Costs B50Personnel Insurance B50Training General ,175 B50Staff Welfare B50Gender Activities B50Staff Security B50Other Misc. Staff Costs TOTAL, Discretionary Staff Related Costs 1, ,145 1,226 1,270 1,318 3,814 * at UN Rate of Exchange; includes expenditure funded by carry-over of unutilized appropriations from prior year e) Special Implementation Projects (SIP): resources required for implementation of special projects for the purpose of advising States on the implementation of parts of Regional Plans, which have significant effect on safety and efficiency. Project plans are submitted for Council approval prior to 127

138 ANNEX 2 project initiation. These projects, although implemented in the regional offices, are managed by the Air Navigation Bureau. f) Consultancy and Outsourcing: remuneration paid to holders of special service agreements (SSA); fees of outsourcing of language and IT services; and other external contractual services. g) Operational Expenditures: includes, among others, the following: i) Information Technology Software/Hardware: The provisions under this item are for the acquisition and maintenance of information technology/office automation related hardware, software in respect of desktop computers, information technology infrastructure and major systems applications that do not fit the description of a Capital item. The provision for equipment is mainly intended to replace obsolete equipment. Provision for software includes annual licence and maintenance fees, upgrades and replacements and the acquisition of more contemporary software. ii) Buildings Rental, Maintenance and Security: This item includes maintenance and security costs of Headquarters premises in Montreal and building rental, maintenance and security costs of the premises of the seven Regional Offices. In accordance with the Supplementary Agreement with the Host Government that came into effect 1 December 2016, ICAO is required to pay the Government of Canada 20 per cent of the operating costs of the Headquarters premises. The Government of Canada assumes, on a yearly basis, 100 per cent of the rent and 80% of the operating costs and all of the property taxes. The operating costs are based on actual expenditures incurred by the Government of Canada. The premises for APAC, APAC-RSO, MID, WACAF and part of the premises for EUR/NAT are provided free of rent by the respective host governments, i.e. Thailand, Egypt, Senegal and France, respectively. The rental and maintenance costs of NACC and the SAM are partly subsidised by the Mexican and Peruvian governments, respectively. iii) Communications Telecommunications Distribution: includes provision for telephone/cell phone services, smart phone services, long distance services, and facsimile and data phone long distance charges. iv) Office Supplies and Services: includes provision for photocopy, stationery and office supplies as well as internal printing in the Regional Offices. v) Contributions to United Nations common services: ICAO participates in and benefits from certain services, which are jointly provided by the United Nations System. The costs of these services are shared by all the participating organizations on the basis of a mutually-agreed cost-sharing formulae. vi) ARGF services: includes resources required by bureaux/offices to procure printing and distribution services from RGA. h) Meetings: resources required for internal meetings which can include salaries and allowances for temporary personnel including interpreters; travel costs of Secretariat staff; overtime; rental of conference rooms/audio-visual equipment; office and reproduction supplies; hospitality; and miscellaneous expenses. i) Travel on Mission: travel expenses and daily subsistence allowances on official travel. This includes: i) missions to Member States in connection with the implementation of the work programme, which include consultations, provision of advice and assistance, and work in connection with oversight audits; 128

139 ii) ANNEX 2 missions to meetings, governmental or non-governmental, on aviation subjects to present the ICAO viewpoint or to maintain contact with technical developments; iii) missions to represent ICAO at relevant meetings of the United Nations, the Specialized Agencies and other international organizations. j) Hospitality: provision for hospitality expenses. 129

140 (this page intentionally left blank) 130

141 EXHIBITS Exhibit Budget by Category of Expenditure and Location Exhibit Budgeted Posts Exhibit Budgeted Posts Exhibit Budgeted Posts Exhibit Budget by Object of Expenditure Exhibit 5a Budget by Object of Expenditure Regional Offices Exhibit 5b Budget by Object of Expenditure Administrative Services Bureau Exhibit 5c Budget by Object of Expenditure Office of the Secretary General (and Office of the President) Exhibit 6 Organigram 131

142 (this page intentionally left blank) 132

143 BUDGET BY CATEGORY OF EXPENDITURE AND LOCATION Exhibit 1 REGULAR BUDGET - RESOURCE REQUIREMENTS HQ Office Year Posts Man Years Total Cost IP GS in '000 CAD Consultancy/ Outsourcing Non-Posts Total Cost in '000 CAD Travel Meetings Other Total Cost in '000 CAD ,829 4,873 3, ,150 73, ,129 5,107 3, ,568 75, ,419 5,120 3,288 1,883 10,038 79,749 Total: 172,377 15,100 9,617 3,473 28, ,323 APAC ESAF EURNAT MID NACC SAM WACAF TOTAL , , , , , ,937 Total: 10, , , , , , , ,800 Total: 8, , , , , , , ,983 Total: 9, ,192 11, , , , , , ,470 Total: 6, , , , , , , ,325 Total: 8, , , , , , , ,263 Total: 8, , , , , , , ,016 Total: 9,067-1, ,287 11, ,750 4,969 4,383 1,159 11,382 97, ,967 5,211 4,529 1,526 11,636 99, ,074 5,232 4,651 2,461 12, ,543 Total: 232,791 15,411 13,563 5,146 35, ,

144 Exhibit BUDGETED POSTS Bureau/Office AIR NAVIGATION BUREAU Total P P SG D2 D1 P5 P4 P3 P2 Total G G7 G6 G5 G4 G3 G2 G1 TOTAL ANB Total ANB: S.O. - Safety S.O. - AN Capacity & Efficiency S.S - Admin support to ANC AIR TRANSPORT BUREAU Total ANB: ATB Total ATB: S.O. - Security S.O. - Economic Development of AT S.O. - Environmental Protection Total ATB: REGIONAL OFFICES RO Total Regional Offices: S.O. - Safety S.O. - AN Capacity & Efficiency S.O. - Security S.O. - Economic Development of AT S.O. - Environmental Protection Total Regional Offices: Regional Offices by Location APAC ESAF EURNAT MID NACC SAM WACAF Total Regional Offices: LEGAL BUREAU LEB Total LEB: BUREAU OF ADMINISTRATION AND SERVICES ADB Total ADB: DAAdministration and Services Mgmt IASInfo. Mgmt & Gen. Adm. Ser ACAssembly and Council Secretariat CS Conf., Security and Gen. Services HRHuman Resources ICTInformation Technology LPBLanguage Services Total ADB: OFFICE OF THE PRESIDENT Pres Total Office of President: OFFICE OF THE SECRETARY GENERAL # OSG Total OSG: SGOffice of the Secretary General FINBudget and Financial Mgmt EAEvaluation and Internal Audit COCommunications GAGlobal Aviation Training strstrat. Plan., Coord. & Part ET Ethics Total OSG: TOTAL TOTAL POSTS:

145 BUDGETED POSTS Exhibit 3 Bureau/Office AIR NAVIGATION BUREAU Total P P SG D2 D1 P5 P4 P3 P2 Total G G7 G6 G5 G4 G3 G2 G1 TOTAL ANB Total ANB: S.O. - Safety S.O. - AN Capacity & Efficiency S.S - Admin. Support to ANC AIR TRANSPORT BUREAU Total ANB: ATB Total ATB: SECURITY S.O. - Security S.O. - Economic Development of AT S.O. - Environmental Protection Total ATB: REGIONAL OFFICES RO Total Regional Offices: REGIONAL OFFICES S.O. - Safety S.O. - AN Capacity & Efficiency S.O. - Security S.O. - Economic Development of AT S.O. - Environmental Protection Total Regional Offices: Regional Offices by Location APAC ESAF EURNAT MID NACC SAM WACAF Total Regional Offices: LEGAL BUREAU LEB Total LEB: BUREAU OF ADMINISTRATION AND SERVICES ADB Total ADB: DAAdministration and Services Mgmt IASInfo. Mgmt. & Gen. Admin. Ser AC Assembly and Council Secretariat CSGConf., Security and Gen. Services HRHuman Resources ICTInformation Technology LPBLanguage Services OFFICE OF THE PRESIDENT Total ADB: Pres Total Office of President: OFFICE OF THE SECRETARY GENERAL # OSG Total OSG: SGOffice of the Secretary General FINBudget and Financial Mgmt EAOEvaluation and Internal Audit COCommunications GAGlobal Aviation Training str Strat. Plan., Coord. & Part ETHEthics Total OSG: TOTAL TOTAL POSTS:

146 Exhibit BUDGETED POSTS AIR NAVIGATION BUREAU Total P P SG D2 D1 P5 P4 P3 P2 Total G G7 G6 G5 G4 G3 G2 G1 TOTAL ANB Total ANB: S.O. - Safety S.O. - AN Capacity & Efficiency S.S - Admin. Support to ANC Total ANB: AIR TRANSPORT BUREAU ATB Total ATB: S.O. - Security S.O. - Economic Development of AT S.O. - Environmental Protection Total ATB: REGIONAL OFFICES RO Total Regional Offices: S.O. - Safety S.O. - AN Capacity & Efficiency S.O. - Security S.O. - Economic Development of AT S.O. - Environmental Protection Total Regional Offices: Regional Offices by Location APAC ESAF EURNAT MID NACC SAM WACAF Total Regional Offices: LEGAL BUREAU LEB Total LEB: BUREAU OF ADMINISTRATION AND SERVICES ADB Total ADB: DAAdministration and Services Mgmt IASInfo. Mgmt. & Gen. Admin. Ser AC Assembly and Council Secretariat CSGConf., Security and Gen. Services HRHuman Resources ICTInformation Technology LPBLanguage Services OFFICE OF THE PRESIDENT Total ADB: Total Office of President: OFFICE OF THE SECRETARY GENERAL # OSG Total OSG: # Office of the Secretary General FINBudget and Financial Mgmt EAOEvaluation and Internal Audit COCommunications GAGlobal Aviation Training Str Strat. Plan., Coord. & Part ETHEthics Total OSG: TOTAL TOTAL POSTS:

147 Budget by Object of Expenditure (in '000 CAD) AIR NAVIGATION BUREAU Budget Block Account Total IP Posts IP Salaries 13,352 13,643 14,273 41,268 General Service Posts GS Salaries 2,770 2,843 2,900 8,513 Operational Expenditures Miscellaneous other expenses Meetings Meetings Travel on Mission Mission Travel 1,479 1,516 1,554 4,548 Hospitality Hospitality SIP SIP Consultancy Consultancy ,692 Outsourcing Outsourcing to third parties ANB Total 18,566 19,413 19,745 57,724 AIR TRANSPORT BUREAU Budget Block Account Total IP Posts IP Salaries 6,840 6,989 7,609 21,439 General Service Posts GS Salaries 1,772 1,818 1,853 5,443 Operational Expenditures Miscellaneous other expenses Meetings Meetings ,254 Travel on Mission Mission Travel 1,140 1,170 1,201 3,512 Hospitality Hospitality Consultancy Consultancy Outsourcing Outsourcing to third parties ATB Total 10,525 10,771 11,581 32,877 LEGAL BUREAU Budget Block Account Total IP Posts IP Salaries 1,757 1,796 1,862 5,416 General Service Posts GS Salaries ,545 Meetings Meetings Travel on Mission Mission Travel Hospitality Hospitality LEB Total 2,437 2,398 2,542 7,377 Exhibit 5 REGIONAL OFFICES (a) Budget Block Account Total IP Posts IP Salaries 15,983 15,781 16,396 48,161 General Service Posts GS Salaries 3,938 4,056 4,259 12,253 Operational Expenditures Bank charges Communications Charges Conference equipment Distribution Charges Furniture and fixture Insurance - premises & equipment IT hardware - purchases Maintenance, operation and alteration of premises ,452 Miscellaneous other expenses Other equipment Other fund support costs for general operating expenses Periodicals, books and subscriptions Reimbursements to other UN agencies Rental of premises Reproduction equipment Security Stationery and office supplies Telecommunication equipment Transp. Equipment Utilities Meetings Meetings ,672 Travel on Mission Mission Travel 1,259 1,324 1,363 3,946 Hospitality Hospitality Capital Expenditures Contribution to Capital Fund Discretionary Staff Related Costs Staff security Consultancy Consultancy Outsourcing Outsourcing to third parties REGIONAL OFFICES Total 24,043 23,893 24,793 72,730 (a) see Exhibit 5a for further details 137

148 Exhibit 5 138

149 Exhibit 5a Budget by Object of Expenditure - Regional Offices (in '000 CAD) APAC (Bangkok, Thailand) Budget Block Account Total IP Posts IP Salaries 2,796 2,757 2,867 8,420 General Service Posts GS Salaries ,703 Operational Expenditures Bank charges Communications Charges Conference equipment Distribution Charges Furniture and fixture Insurance - premises & equipment Maintenance, operation and alteration of premises Miscellaneous other expenses Other equipment Periodicals, books and subscriptions Reproduction equipment Security Stationery and office supplies Telecommunication equipment Transp. Equipment Utilities Meetings Meetings Travel on Mission Mission Travel Hospitality Hospitality Capital Expenditures Contribution to Capital Fund APAC Total 3,812 3,792 3,937 11,541 ESAF (Nairobi, Kenya) Budget Block Account Total IP Posts IP Salaries 2,471 2,436 2,531 7,438 General Service Posts GS Salaries ,367 Operational Expenditures Bank charges Communications Charges Distribution Charges Furniture and fixture Maintenance, operation and alteration of premises Miscellaneous other expenses Other equipment Periodicals, books and subscriptions Rental of premises Reproduction equipment Security Stationery and office supplies Transp. Equipment Utilities Meetings Meetings Travel on Mission Mission Travel Hospitality Hospitality Capital Expenditures Contribution to Capital Fund ESAF Total 3,646 3,707 3,800 11,

150 Exhibit 5a 140

151 141 Exhibit 5a

152 Exhibit 5a 142

153 Exhibit 5b Budget by Object of Expenditure - ADB (in '000 CAD) OFFICE OF THE DIRECTOR Budget Block Account Total IP Posts IP Salaries ,516 General Service Posts GS Salaries Operational Expenditures Reimbursements to other UN agencies Travel on Mission Mission Travel Hospitality Hospitality Capital Expenditures Contribution to Capital Fund Consultancy Consultancy Total 1,402 1,436 1,370 4,209 ASSEMBLY AND COUNCIL SECRETARIAT Budget Block Account Total IP Posts IP Salaries ,095 General Service Posts GS Salaries Meetings Meetings Consultancy Consultancy Total ,754 INFORMATION MANAGEMENT AND GENERAL ADMINISTRATIVE SERVICES (IAS) Budget Block Account Total General Service Posts GS Salaries Total IAS - CONFERENCE, SECURITY AND GENERAL SERVICES Budget Block Account Total IP Posts IP Salaries General Service Posts GS Salaries ,436 Operational Expenditures Bank charges Conference equipment Distribution Charges Furniture and fixture Insurance - premises & equipment Maintenance, operation and alteration of premises 1,906 1,998 2,095 6,000 Miscellaneous other expenses Other equipment Reproduction equipment Security Stationery and office supplies Transp. Equipment Capital Expenditures Contribution to Capital Fund Consultancy Consultancy Outsourcing Outsourcing to third parties Total 3,554 3,802 3,866 11,

154 Exhibit 5b 144